Chief Compliance Officer, Sales Practices

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.

Who you'll work with

The Chief Compliance Officer, Sales Practices (CCO-SP) serves as the compliance executive responsible for oversight of all regulatory and compliance activities for Sales Practices related to the sales and distribution of Corebridge Financial’s individual life insurance, individual annuities, group annuities, and group retirement products for both third-party distribution and affiliate distribution.

About the role

This role focuses on both the front-end sales process and suitability requirements as well as investigations into sales practices matters and other matters requiring internal investigation.

The CCO-SP would manage the leaders of the Suitability Compliance team and the Investigations team, and they will be responsible for the sales and distribution aspects of ensuring that the firm’s retirement, annuity, and life insurance businesses operate within a robust, risk-based compliance framework aligned with enterprise standards, while enabling strategic growth and client confidence. The CCO-SP will also serve as the Chief Compliance Officer of the affiliated Insurance Agency and have primary responsibility for Corebridge Direct.

The position reports functionally to the Chief Compliance Officer, U.S. Insurance Companies (CCO), and partners closely with business and functional leaders on the business unit teams.

Responsibilities

Strategic Compliance Leadership

• With a focus on Sales Practices, support the CCO in developing and executing a comprehensive compliance program that supports the company’s mission of helping clients plan and invest for retirement and long-term financial security.

• As needed, collaborate with CCOs of the affiliated broker-dealers, RIA, and mutual fund complex.

• Partner with enterprise corporate compliance teams to ensure consistent standards and efficient execution.

Governance and Oversight

• Oversee compliance policies, risk assessments, and monitoring programs across relevant regulated entities and/or business lines.

• As needed, ensure effective management of regulatory examinations and inquiries from the SEC, FINRA, DOL, state insurance departments, and other regulators.

• Participate in business unit Boards and Committees as appropriate.

• Maintain reporting protocols that deliver transparency into compliance risks, emerging issues, and program effectiveness.

Culture and Conduct

• Promote a culture of ethics, integrity, and accountability throughout the retirement and insurance businesses.

• Partner with the CCO, Human Resources, Operations, and Sales leadership to reinforce conduct expectations, training, and supervisory controls.

• Serve as a visible and trusted voice for “doing what’s right for clients,” consistent with the firm’s ethical, fiduciary and suitability obligations.

Regulatory Engagement

• Participate in and, as called on, lead exam readiness and remediation efforts across relevant affiliated entities.

• Stay ahead of evolving regulatory trends affecting the retirement plan, annuity, insurance, and wealth management sectors.

Enterprise Collaboration

• Collaborate with the enterprise compliance shared services model to ensure alignment on risk assessment, monitoring, testing, and reporting methodologies.

• Contribute to enterprise-wide compliance initiatives, governance enhancements, and technology modernization efforts.

• Support integration of new compliance tools, artificial intelligence, data analytics, and automation capabilities.

Skills & Qualifications

• 10+ years of experience in compliance or legal roles within the sales practices sector of the financia