AIG

Chief Compliance Officer, Sales Practices

AIG

full-time

Posted on:

Location Type: Hybrid

Location: Houston • California • Texas • United States

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Salary

💰 $160,000 - $180,000 per year

Job Level

Lead

About the role

  • Support the CCO in developing and executing a comprehensive compliance program for the company's mission of helping clients.
  • Oversee compliance policies, risk assessments, and monitoring programs across relevant regulated entities.
  • Ensure effective management of regulatory examinations and inquiries from various regulators.
  • Promote a culture of ethics, integrity, and accountability throughout the retirement and insurance businesses.
  • Participate in exam readiness and remediation efforts across relevant affiliated entities.
  • Collaborate with the enterprise compliance shared services model to ensure alignment on risk assessment and reporting methodologies.

Requirements

  • 10+ years of experience in compliance or legal roles within the sales practices sector of the financial services industry, including leadership experience in broker-dealer, RIA, or insurance company compliance.
  • Demonstrated ability to support multiple regulated entities and lead through matrixed governance structures.
  • Strong working knowledge of FINRA, SEC, DOL, and state insurance regulations.
  • Proven track record in sales practices and suitability compliance program design.
  • Exceptional leadership, communication, and interpersonal skills; ability to influence and partner across complex organizations.
  • JD or equivalent advanced degree preferred; relevant certifications, including FINRA licenses, a plus but not required.
Benefits
  • Health and Wellness: We offer a range of medical, dental and vision insurance plans, as well as mental health support and wellness initiatives to promote overall well-being.
  • Retirement Savings: We offer retirement benefits options, which vary by location. In the U.S., our competitive 401(k) Plan offers a generous dollar-for-dollar Company matching contribution of up to 6% of eligible pay and a Company contribution equal to 3% of eligible pay (subject to annual IRS limits and Plan terms). These Company contributions vest immediately.
  • Employee Assistance Program: Confidential counseling services and resources are available to all employees.
  • Matching charitable donations: Corebridge matches donations to tax-exempt organizations 1:1, up to $5,000.
  • Volunteer Time Off: Employees may use up to 16 volunteer hours annually to support activities that enhance and serve communities where employees live and work.
  • Paid Time Off: Eligible employees start off with at least 24 Paid Time Off (PTO) days so they can take time off for themselves and their families when they need it.
Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills & Tools
compliance program developmentrisk assessmentregulatory examination managementsales practices compliancesuitability compliance program designmatrixed governanceregulatory inquiries managementmonitoring programs
Soft Skills
leadershipcommunicationinterpersonal skillsinfluencecollaborationaccountabilityethicsintegrity
Certifications
JDFINRA licenses