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Compliance Director, Investment Adviser, VFA

Company: American International Group
Location: Houston
Posted on: May 16, 2022

Job Description:

Compliance Director, Investment Adviser, VFA Who we are American International Group, Inc. (AIG) is a leading global insurance organization. Building on 100 years of experience, today AIG member companies provide a wide range of property casualty insurance, life insurance, retirement solutions, 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. Get to know the business Life and Retirement is a unique franchise that brings together a broad portfolio of life insurance, retirement and institutional products offered through an extensive, multichannel distribution network. It holds longstanding, leading market positions in many of the markets it serves in the U.S. AIG's Global Legal, Compliance, Regulatory and Government Affairs department is comprised of attorneys and other professionals providing high quality advisory and transactional support with integrity and objectivity across all parts of the organization. The team ensures an operating environment that minimizes legal, regulatory and reputational risks and complies with all laws and regulations and AIG policies & procedures. This is a global, diverse and award-winning team that has been recognized for its leadership and innovative solutions. You will also be able to participate in AIG's award-winning pro bono program. About the role The candidate reports to the Chief Compliance Officer, Investment Adviser, VALIC Financial Advisers, Inc. (VFA). The individual that fills this position will hold the following key responsibilities: Assist the CCO in the implementation and management of effective compliance functions supporting VFA's investment Advisory program. In coordination with the CCO and various business partners and stakeholders, conduct effective oversight of the VFA Investment Advisory compliance program, including the review of the appropriateness of the compliance system and procedures. Recommend, implement and/or coordinate with the CCO on the implementation of any necessary remediation for any identified deficiencies. Establish and maintain strong working relationships with internal and external business partners, clients and regulatory bodies with respect to VFA's compliance program and procedures. In collaboration with the CCO, work closely with Field Supervision and Surveillance teams to monitor, address and correct any compliance deficiencies in the field. Collaborate with the CCO in preparing, drafting and presenting VFA's annual 206(4)-7 compliance report, as well as other reports that may arise from time to time. In coordination with the CCO and business partners, prepare periodic VFA regulatory filings such as Form ADV and related supplemental material. Work closely with other compliance staff for routine or periodic matters, including for example pre-clearance requests, training, field office examinations, and similar compliance management matters. Maintain in-depth knowledge of the Investment Advisers Act and related rules and regulations, as well as VFA's business and its activities in order to ensure adequate compliance oversight as business needs evolve over time. Assist the CCO with other matters that may arise from time to time with the VFA compliance program and procedures. What you need to know: The ideal candidate will have a strong educational background and relevant experience with the investment advisory business and related insurance products. Minimum of 5 years of relevant experience required. Prior Experience as a Compliance Manager/Director for Investment Advisory strongly preferred. An undergraduate degree is strongly preferred, MBA or Law Degree a plus. Candidates with FINRA series 7, 24, and 65/66 registrations are strongly preferred. Experience with compliance and operations functions with a financial services organization is required and the ideal candidate will have direct working knowledge and experience with variable and fixed annuity products, corporate governance and supervision. Knowledge and experience with Federal securities laws, rules, and regulations is required. Must have the ability to work independently and function as an influencer who assumes responsibility for completing assigned tasks as well as recommending new projects or areas of focus to enhance the VFA compliance program and procedures. What our employees like most about working for AIG We care about your professional development. Our career progression program will provide you with the opportunity to develop your skills, strengthen your productivity and be eligible to progressively advance to positions with an increased responsibility and increased compensation. Our "Giving Back" policy is at the core of our daily operations and guides our future progress. Don't believe us? We put our money where our mouth is! AIG will give you up to 16 hours a year paid time off to volunteer in the community. Our people are our most important asset therefore we provide a generous benefits plan and competitive pay. Benefit package includes: Paid Time Off (AIG recognizes the importance of work life balance). We offer 24 PTO days to start. YES, 24! 9 paid holidays per calendar year. A 401(k) Retirement Plan which will be HARD TO BEAT. Our 401K - $1 for $1 match up to 6% with immediate vesting, plus AIG automatically contributes an additional 3% into your 401K regardless of if you enroll or not. We are an Equal Opportunity Employer American International Group, 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 AIG, 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: https://www.aig.com/about-us/diversity-equity-and-inclusion AIG 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 candidatecare@aig.com. Reasonable accommodations will be determined on a case-by-case basis. In order to work from or visit an AIG office, and in accordance with the terms and conditions of AIG's COVID-19 vaccination policy, individuals hired into this position will be required to attest that they have been fully vaccinated and agree to have their vaccination status and proof of vaccination confidentially stored by AIG. Exemptions may be considered on a case-by-case basis in accordance with applicable law. Functional Area: CP - Compliance Estimated Travel Percentage (%): Up to 25% Relocation Provided: No American General Life Insurance Company

Keywords: American International Group, Houston , Compliance Director, Investment Adviser, VFA, Executive , Houston, Texas

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