🚀 Chief Compliance Officer: VALIC Financial Advisors (VFA) - Registered Investment Advisor

Overview

The Chief Compliance Officer, VFA Registered Investment Advisor, is responsible for overseeing the Firm’s investment advisory compliance program, ensuring adherence to regulatory requirements, and promoting a culture of integrity.

Responsibilities

• Compliance Advisory: Providing regulatory and compliance advice in connection with advisory products and services, including in-plan and retail managed accounts programs, retail wealth management and financial planning, complex and wrap products.
• Regulatory Oversight: Conducting and/or collaborating on compliance reviews, surveillance, and monitoring of investment advisory programs to ensure compliance with SEC, FINRA, DOL, and other applicable rules. Oversight of compliance by national team of financial advisors, supervising principals and related advisory support staff.
• Risk Management: Identifying, mitigating, and reviewing risks and conflicts of the firm on an ongoing basis, including coordination with other business unit CCOs.
• Annual Regulatory Reviews: Manage required regulatory reviews, including annual Rule 206(4)-7 reviews, DOL fiduciary “retrospective reviews,” and related. Provide reports to the Firm’s board of directors.
• Training and Education: Leading training initiatives for a national team of financial advisors, supervising principals, and other financial professionals, as well as home office staff, on compliance policies and monitoring changes in legislation.
• Oversight and Management of the Investment Advisory Compliance Program: Manage the on-going review of the Firm’s investment advisory compliance program, including any updates (i.e., based on regulatory or business developments), updating as needed, and providing training.
• Oversight of the Firm’s Code of Ethics: Oversee and manage the Firm’s code of ethics, including updates as required, annual training and attestations. Coordinate oversight and pre-clearance approvals for affiliated stock trades, PSTs, and other investment advisor requested financial transactions.
• Responsibility for Timely and Accurate Regulatory and Related Filings: Coordinate with various business units for accurate and timely regulatory filings including Forms ADV, CRS, Parts 1A, 2A, 2B and others.
• Collaboration: Collaborating with various departments to ensure adherence to ethical standards and regulations and serving as a key liaison with regulatory agencies. Collaborate with various business units for regulatory exams and related matters.

Skills And Qualifications

• 10 years of compliance experience at a registered investment adviser, investment consulting firm, or related experience with a law firm.
• Experience with broker-dealer and/or insurance programs compliance a plus.
• Proficiency with compliance technology platforms; a strong understanding of the Advisers Act of 1940, the DOL ERISA PTEs, FINRA rules and regulations are requisites.

Work Location

This position is based in Corebridge Financial’s Houston, TX office.

Estimated Travel

Minimal travel.

Benefits

• Health and Wellness: Medical, dental, and vision insurance plans, mental health support and wellness initiatives.
• Retirement Savings: 401(k) with Company matching contribution up to 6% and Company contribution up to 3% (vesting immediately).
• Employee Assistance Program: Confidential counseling services and resources.
• Matching charitable donations: 1:1 matches up to $5,000.
• Volunteer Time Off: Up to 16 hours annually.
• Paid Time Off: At least 24 PTO days to start.

Equal Opportunity

Corebridge Financial is an Equal Opportunity Employer. We comply with all applicable federal, state, and local fair employment laws. All applicants will be considered based on job-related qualifications without regard to race, color, religion, sex, gender identity or expression, sexual orientation, national origin, disability, neurodivergence, age, veteran status, or any other protected characteristic. Reasonable accommodations are available during the application and hiring process. For accommodations, contact

Corebridge Financial is committed to working with and providing reasonable accommodations to job applicants and employees, including accommodations for disabilities or sincerely held religious beliefs. We will consider for employment qualified applicants with criminal histories, consistent with applicable law. For more information, visit

Functional Area : LG - Legal, Regulatory & Gov't Affairs
Estimated Travel Percentage: Up to 25%
Relocation Provided: No