Senior Compliance Officer - Surveillance Program job Houston Texas
Senior Compliance Officer - Surveillance Program job Houston Texas
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Senior Compliance Officer - Surveillance Program Job

Employer Name: SpiderID: 8305625
Location: Houston, Texas Date Posted: 1/3/2019
Wage: Negotiable Category: Insurance
Job Code: JR1814800

Job Description:

This individual will report to the Group Retirement Chief Compliance Officer and will be responsible for overseeing the VFA Surveillance program including, but not limited to, the following functions.

  • Oversee the VFA Surveillance program and activities to ensure compliance with appropriate laws and regulations while effectively mitigating risk.

  • Develop/enhance risk-focused and exception based testing that remains flexible in order to adapt to changing regulatory and business demands.

  • Conduct periodic review of the program and staffing to ensure continuous and appropriate surveillance processes and support.

    • Periodically assess staffing and address proficiency, capacity and training needs.

    • Assess and enhance systems critical to the branch exam program and consider streamlining and automation, where possible.

    • Develop and/or enhance surveillance methodology and maintain departmental procedures and guidelines.

    • Conduct quality assurance on team deliverables and reports.

    • Handle escalated reviews and/or escalate significant matters to senior management.

  • Partner with the Firm's senior management, supervision, legal and operations teams to communicate trending, metrics and areas of focus.

  • Ensure timely and appropriate reporting of risk and remediation of issues.

  • Facilitate meetings and periodic reporting to the VFA CCO and other stakeholders.

  • Assist with regulatory exams and internal testing and audits.

  • Keep apprised of current industry trends to help ensure proper checks and balances are in place.

  • Ensure department expenses are aligned with budgetary and expense goals.

Candidate Qualifications:

  • Bachelor's degree preferred;

  • 5-7 years of experience in the financial securities industry.

  • Must have knowledge of the retail brokerage business and common investment products including mutual funds, variable annuities, alternative investments, stocks, and bonds; experience with Group Plan business is a plus.

  • FINRA licensed strongly preferred - Series 7 and 24 preferred.

  • Proficient in MS Office Suite; Strong MS Excel and/or database proficiency is required.

  • Experienced leader with 3-5 years of management experience.

  • Must be strategic, adaptable and have the ability to see the big picture.

  • Must be detail-oriented, intuitive and have the ability to handle a high volume of work independently.

  • Must have effective communication skills with the ability to articulate concern(s), both written and verbal.

  • Ability to analyze data and to think through complex Compliance issues.

About AIG

American International Group, Inc. (AIG) is a leading global insurance organization. Founded in 1919, today AIG member companies provide a wide range of property casualty insurance, life insurance, retirement products, and other financial services to customers in more than 80 countries and jurisdictions. These diverse offerings include products and services that help businesses and individuals protect their assets, manage risks and provide for retirement security. AIG common stock is listed on the New York Stock Exchange and the Tokyo Stock Exchange.

Join our Talent Network at Additional information about AIG can be found at and http:// | YouTube: | Twitter: @AIGinsurance | LinkedIn: These references with additional information about AIG have been provided as a convenience, and the information contained on such websites is not incorporated by reference into this press release.

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

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