Registered Principal - Transaction Review Analyst
Who we are
Corebridge Financial helps people make some of the most meaningful decisions they’re ever going to make. We help them plan and take action to protect the future they envision and respond to some of life’s most difficult moments through the solutions and services we provide. We do this through our broad product portfolio of life, retirement, and institutional products, offered through an extensive, multichannel distribution network. We provide solutions for a brighter future through our client centered service, breadth of product expertise, deep distribution relationships and outstanding, hardworking, and passionate employees.
About the Role
As a Transaction Review Analyst, you will be conducting suitability review for business requiring firm pre-approval, to include, but not limited to mutual fund purchases, variable or fixed annuity initial purchases or exchanges, and advisory service recommendations. You will also be responsible for identifying and assisting in mitigating compliance risk within the organization.
Responsibilities
- Review transaction submissions for risk and regulatory issues
- Communicate proficiently with financial professionals to obtain suitability information and forms required for the broker dealer
- Help coordinate efforts between financial professionals and internal operational partners to ensure business is processed within department service level agreements
- Perform research and participate in escalated issues or rejections as directed
- Manage and maintain strong relationships with business partners
- Research and respond to complex or non-routine requests for assistance and problem resolution by sales professionals or product sponsor companies
- Communicate and escalate issues as appropriate to Senior Management
- Research, investigate, report, and propose solutions to issues identified by management, auditors, or regulators
- Stay current on trends in our business
- Manage priorities and deadlines, understanding the impact to other areas and proposing solutions with the greatest positive impact
Preferred Skills
- The right person for this job will have exceptional communication skills. You will need to communicate with advisors, field management, upper management, and across departments
- Data analysis experience required - analyzing large volumes of data and recognizing inconsistencies, trends, and/or erroneous information
- Strong presentation and business writing skills
- Well organized and detail oriented
- Able to exercise independent thought and decision making
- Ability to work in a fast paced and ever-changing environment
Qualifications and Education Requirements
- At least 2 + years of experience in Financial Services preferably in a supervision capacity
- FINRA Series 7 Required
- FINRA Series 24 Required
- FINRA Series 53 encouraged
- Series 66 (or Series 63 & 65) preferred.
What our employees like most about working for Corebridge Financial
- Our Giving Back policy is at the core of our daily operations. Corebridge provides up to 16 hours of volunteer time off
- Our people are our most important asset therefore we provide generous benefits and competitive pay. Benefits include:
- Paid Time off: 24 PTO days to start
- 9 Paid holidays
- A 401k which is HARD TO BEAT. $1 for $1 match up to 6% with immediate vesting, plus Corebridge automatically contributes an additional 3% regardless of whether you enroll or not.
We are an Equal Opportunity Employer
Corebridge Financial, Inc., its subsidiaries and affiliates are committed to be an Equal Opportunity Employer and its policies and procedures reflect this commitment. We provide equal opportunity to all qualified individuals regardless of race, color, religion, age, gender, gender expression, national origin, veteran status, disability or any other legally protected categories such as sexual orientation. At Corebridge Financial, we believe that diversity and inclusion are critical to our future and our mission – creating a foundation for a creative workplace that leads to innovation, growth, and profitability. Through a wide variety of programs and initiatives, we invest in each employee, seeking to ensure that our people are not only respected as individuals, but also truly valued for their unique perspectives.
To learn more please visit: www.corebridgefinancial.com
Corebridge Financial is committed to working with and providing reasonable accommodations to job applicants and employees with physical or mental disabilities. If you believe you need a reasonable accommodation in order to search for a job opening or to complete any part of the application or hiring process, please send an email to [email protected]. Reasonable accommodations will be determined on a case-by-case basis.
Functional Area:
CP - Compliance
Estimated Travel Percentage (%): No Travel
Relocation Provided: No
American General Life Insurance Company
What We Do
At Corebridge Financial, we believe action is everything. That’s why every day we proudly partner with financial professionals and institutions to make it possible for more people to take action in their financial lives, for today and tomorrow. Because action is the bridge from planning to outcomes.
Corebridge Financial is a new company, but not a new business. Formerly AIG Life & Retirement, we are one of the largest and most established providers of retirement solutions and insurance products in the United States.
We deliver industry-leading products, platforms and services that move people toward a more secure tomorrow. Our balanced portfolio across the Corebridge enterprise—Individual Retirement, Retirement Services, Life Insurance and Institutional Markets—enables us to manage risk, maximize growth opportunities, and drive positive outcomes for those we serve.
We believe no one achieves a financially secure future by accident—great things happen when people take action.
Products and services offered through wholly owned affiliates of Corebridge Financial.
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