Supervisory Principal

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