Chief Compliance Officer -- VFA job Houston Texas
Chief Compliance Officer -- VFA job Houston Texas
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Chief Compliance Officer -- VFA Job



Employer Name: SpiderID: 7138216
Location: Houston, Texas Date Posted: 12/4/2017
Wage: Negotiable Category: Insurance
Job Code: JR1701238

Job Description:

Chief Compliance Officer - VALIC Financial Advisors

The Role and Responsibilities



The role of the Chief Compliance Officer - VALIC Financial Advisors ("VFA") is to lead a team of compliance professionals and engage with and provide strategic advice to business partners. The position reports to the Chief Compliance Officer - Group Retirement. The responsibilities of the position include the following:



  • Drive the firm's compliance with all FINRA, MSRB, SEC and NYSE rules and regulations by applying strategic/analytical skills and advice along with providing training and risk assessment to the firm's broker/dealer and investment advisory activities.

  • Oversee the development, maintenance and enhancement of all relevant policies and procedures based upon regulatory requirements, industry practices and established internal controls for all business activities.

  • Oversee performance of all daily, weekly, monthly and quarterly compliance reviews (including transaction reviews).

  • Lead the development and implementation of necessary risk assessment reviews including internal audits and automated surveillance/monitoring programs to review the firm's activities and create sustainable compliance with all aspects of industry standards.

  • Coordinate timely responses to all governmental and regulatory inquiries, including acting as the liaison with federal and state securities regulators.

  • Implement and maintain all mandated Anti-Money Laundering programs covering the Broker/Dealer activities.

  • Engage with and provide strategic advice to business colleagues including providing periodic training to firm management and registered representatives regarding applicable securities rules, regulations and firm policies.

  • Manage and lead compliance staff and supervision partners performing routine compliance activities on behalf of the firm including surveillance, branch office examinations, handling of customer complaints, review of advertising and marketing materials, identification and escalation of potential sales practice issues and the timely and accurate completion of all regulatory filings including Form ADV and Form BD amendments.


Candidate Qualifications

The ideal person for this role should have experience and knowledge in the management of a compliance department, including maintaining policies and procedures; overseeing compliance risk assessment processes; implementing compliance training programs; and monitoring and remediating potential violations of policy or law. Candidates will be expected to possess the following professional and personal attributes:



  • A strong educational background including an undergraduate degree and a minimum of 10 years of relevant experience. FINRA series 7, 24 and 65/66 licenses as well as prior employment with a broker-dealer required. MBA or Law Degree preferred.

  • Experience and knowledge of FINRA, SEC, state securities and firm-specific rules and regulations.

  • Significant experience and understanding of the retirement and securities industries, including knowledge of insurance regulations across the spectrum of AIG's Life & Retirement businesses, including retirement plans, life insurance, fixed and variable annuities and mutual funds.

  • Familiarity with the Employee Retirement Income Security Act of 1974 and Department of Labor rules applicable to the retirement business preferred.

  • Demonstrated ability to influence and work effectively and cross-functionally within a highly-matrixed organization with employees at all levels.

  • Self-starter with the ability to meet or exceed deadlines, prioritize, multi-task, and maintain flexibility in fast-paced, changing environment.

  • Strong problem-solving skills and the ability to confront conflict and difficult issues in a professional, assertive and proactive manner.

  • Excellent organizational, written, verbal and presentation skills including the ability to interpret and communicate compliance guidance internally and to effectively communicate with regulators.



About AIG

American International Group, Inc. (AIG) is a leading international insurance organization serving customers in more than 130 countries and jurisdictions. AIG companies serve commercial, institutional, and individual customers through one of the most extensive worldwide property-casualty networks of any insurer. In addition, AIG companies are leading providers of life insurance and retirement services in the United States.

AIG Property Casualty is a global market leader, one of the few truly global property casualty franchises.
AIG Life and Retirement is one of the largest life insurance organizations in the U.S., and provides protection, investment and income solutions needed for financial and retirement security.
United Guaranty Corporation is the marketplace leader in mortgage insurance in the U.S.

Additional information about AIG can be found at www.aig.com | YouTube: www.youtube.com/aig | Twitter: @AIG_LatestNews | LinkedIn: www.linkedin.com/company/aig



Job Criteria:
Start Date:
Position Type: Full-Time Permanent
Years of Experience Required:
Education Required:
Overnight Travel:
Vacation Time:


Contact Information:
Contact Name: AIG Company Type:
Company: AIG
City:
State:
Zip:

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