Chief Compliance Officer: VALIC Financial Advisors (VFA) - Registered Investment Advisor

Who We Are

At Corebridge Financial, we believe action is everything. That’s why every day we partner with financial professionals and institutions to make it possible for more people to take action in their financial lives, for today and tomorrow.

We align to a set of Values that are the core pillars that define our culture and help bring our brand purpose to life:

• We are stronger as one: We collaborate across the enterprise, scale what works and act   decisively for our customers and partners.
• We deliver on commitments: We are accountable, empower each other and go above and beyond for our stakeholders.
• We learn, improve and innovate: We get better each day by challenging the status quo and equipping ourselves for the future.
• We are inclusive: We embrace different perspectives, enabling our colleagues to make an impact and bring their whole selves to work.

The Legal, Compliance, Regulatory and Government Affairs department is a diverse team 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 Corebridge policies and procedures. As a member of this team, which has received industry recognition for its leadership and innovative solutions, you will have the opportunity to participate in the award-winning Corebridge pro bono program.

About The Role

The Chief Compliance Officer, VFA Registered Investment Advisor, is responsible for overseeing the Firm’s investment advisory compliance program, ensuring adherence to regulatory requirements, and promoting a culture of integrity.

Responsibilities

You will be working on various aspects of Compliance and regulatory support for VFA – Registered Investment Advisor a division of Retirement Services  at Corebridge. Examples of the work in which you will be involved include:

• Compliance Advisory: Providing regulatory and compliance advice in connection with advisory products and services, including in-plan and retail managed accounts programs, retail wealth management and financial planning, complex and wrap products.
• Regulatory Oversight: Conducting and/or collaborating on compliance reviews, surveillance, and monitoring of investment advisory programs to ensure compliance with SEC, FINRA, DOL, and other applicable rules. Oversight of compliance by national team of financial advisors, supervising principals and related advisory support staff.
• Risk Management: Identifying, mitigating, and reviewing risks and conflicts of the firm on an ongoing basis, including coordination with other business unit CCOs.
• Annual Regulatory Reviews: Manage required regulatory reviews, including annual Rule 206(4)-7 reviews, DOL fiduciary “retrospective reviews,” and related. Provide reports to the Firm’s board of directors.  
• Training and Education: Leading training initiatives for a national team of financial advisors, supervising principals, and other financial professionals, as well as home office staff, on compliance policies and monitoring changes in legislation.
• Oversight and Management of the Investment Advisory Compliance Program: Manage the on-going review of the Firm’s investment advisory compliance program, including any updates (i.e., based on regulatory or business developments), updating as needed, and providing training.
• Oversight of the Firm’s Code of Ethics:  Oversee and manage the Firm’s code of ethics, including updates as required, annual training and attestations. Coordinate oversight and pre-clearance approvals for affiliated stock trades, PSTs, and other investment advisor requested financial transactions.
• Responsibility for Timely and Accurate Regulatory and Related Filings: Coordinate with various business units for accurate and timely regulatory filings including Forms ADV, CRS, Parts 1A, 2A, 2B and others. 
• Collaboration: Collaborating with various departments to ensure adherence to ethical standards and regulations and serving as a key liaison with regulatory agencies. Collaborate with various business units for regulatory exams and related matters.

Skills and Qualifications

• 10 years of compliance experience at a registered investment adviser, investment consulting firm, or related experience with a law firm.
• Experience with broker-dealer and/or insurance programs compliance a plus.
• Proficiency with compliance technology platforms; a strong understanding of the Advisers Act of 1940, the DOL ERISA PTEs, FINR