Chief Compliance Officer - Mutual Funds
Corebridge Financial
Houston, TX
Description
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:
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 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 (CCO) of the Mutual Funds serves as the designated compliance officer under Rule 38a-1 of the Investment Company Act of 1940 and, as applicable, Rule 206(4)-7 of the Investment Advisers Act of 1940. The CCO is responsible for establishing, maintaining, and administering the Fund’s Compliance Program and overseeing the compliance activities of the adviser, sub-advisers, distributor, transfer agent, and other key service providers to ensure adherence to federal securities laws and applicable rules and regulations. The CCO reports directly to the Fund Board, with functional accountability to the Audit/Compliance Committees and administrative alignment with the Adviser’s executive management and to the CCO of Corebridge Financial.
Responsibilities
1. Compliance Program Design and Oversight
- Develop, implement, and maintain the Fund’s compliance policies and procedures under Rule 38a-1.
- Conduct ongoing assessments of the Fund’s compliance program and the programs of key service providers.
- Coordinate annual reviews of the adequacy and effectiveness of the compliance program and present findings to the Fund Board.
- Ensure compliance monitoring and testing activities are risk-based, data-driven, and aligned with evolving regulatory expectations (including Portfolio Monitoring).
2. Board Reporting and Governance
- Serve as primary compliance liaison to the Fund Board and Audit/Compliance Committees.
- Prepare and deliver quarterly compliance updates and the annual Rule 38a-1 report.
- Maintain open lines of communication with independent directors and external counsel on emerging risks and material issues.
- Oversee the Funds’ and the Adviser’s Liquidity Risk Management Program, including the Firm’s Sanctions and Restricted List(s).
3. Service Provider Oversight
- Review and evaluate compliance programs of service providers including the adviser, sub-advisers, distributor, administrator, and transfer agent.
- Conduct due diligence reviews and ongoing monitoring, including thematic or risk-based reviews.
- Oversee the onboarding and offboarding of service providers to ensure seamless compliance integration.
4. Regulatory Management
- Serve as the primary contact with the SEC, FINRA, and other regulatory bodies regarding mutual fund compliance matters.
- Manage regulatory examinations, requests, and communications, ensuring timely and accurate responses.
- Track, interpret, and implement new legal and regulatory developments affecting the Fund complex.
- Oversee Key Regulatory Filings.
5. Risk Management and Controls
- Collaborate with the enterprise risk management (ERM) function to align compliance oversight with broader risk frameworks.
- Monitor and assess potential conflicts of interest and Code of Ethics compliance and conduct periodic employee training.
- Identify and escalate compliance risks to executive leadership and the Board.
6. Leadership and Culture
- Lead a compliance team (direct or matrixed) supporting mutual fund and adviser compliance functions.
- Foster a culture of ethical conduct, fiduciary responsibility, and proactive risk identification.
7. Provide compliance training for Fund personnel, portfolio managers, and service providers as appropriate.
- Interact closely with all areas and personnel within the Legal and Compliance Department, including the head of compliance and senior management.
Please note this is not an exhaustive list of all responsibilities of the position, and the requirements of the job may change in line with business needs.
Skills and Qualifications
- Juris Doctor (JD), CPA, or advanced degree preferred; professional certifications (CFA, CCEP, CAMS, CRCP) a plus.
- Minimum 10–15 years of progressive compliance experience in asset management or mutual funds, preferably in a CCO role.
- Deep understanding of the Investment Company Act of 1940, Investment Advisers Act of 1940, Securities Act of 1933, and related SEC regulations along with AML and Economic Sanctions regulations.
- Demonstrated experience managing regulatory examinations and interacting with Boards and senior executives.
- Excellent judgment, communication, and leadership skills, with the ability to translate complex regulation into practical compliance strategies.
- Effective interpersonal, verbal, and written communication skills.
- Superior judgment and experience with identifying and handling conflicts of interest.
Reporting Relationship
- Reports to: Fund Board
- Administrative Reporting: Chief Compliance Officer of Corebridge Financial
Work Location
This position is based in Corebridge Financial’s Houston, TX office and is subject to our hybrid working policy, which gives colleagues the benefits of working both in an office and remotely.
Estimated Travel
Minimal travel.
This role is deemed a “covered associate” under SEC Rule 206(4)-5, 17 CFR § 275.206(4)-5, Political contributions by certain investment advisers, and other federal and state pay-to-play rules. Candidates for the role must not have made any political contributions that, under 17 CFR § 275.206(4)-5 or other federal or state pay-to-play regulations, would disqualify the candidate or Corebridge Financial from conducting Corebridge Financial’s business, or that would otherwise create a conflict of interest for Corebridge Financial. Applicants who are selected to move forward with the application process will be required to disclose all U.S. political contributions they and their household family members have made over the past two years.
Why Corebridge?
At Corebridge Financial, we prioritize the health, well-being, and work-life balance of our employees. Our comprehensive benefits and wellness program is designed to support employees both personally and professionally, ensuring that they have the resources and flexibility needed to thrive.
Benefit Offerings Include:
At Corebridge Financial, we prioritize the health, well-being, and work-life balance of our employees. Our comprehensive benefits and wellness program is designed to support employees both personally and professionally, ensuring that they have the resources and flexibility needed to thrive.
Benefit Offerings Include:
- 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.
Eligibility for and participation in employer-sponsored benefit plans and Company programs will be subject to applicable law, governing Plan document(s) and Company policy.
We are an Equal Opportunity Employer
Corebridge Financial, is committed to being an equal opportunity employer and we comply with all applicable federal, state, and local fair employment laws. All applicants will be considered for employment based on job-related qualifications and without regard to race, color, religion, sex, gender, gender identity or expression, sexual orientation, national origin, disability, neurodivergence, age, veteran status, or any other protected characteristic. The Company is also committed to compliance with all fair employment practices regarding citizenship and immigration status. At Corebridge Financial, we believe that diversity and inclusion are critical to building 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 colleagues are respected as individuals and valued for their unique perspectives.
Corebridge Financial is committed to working with and providing reasonable accommodations to job applicants and employees, including any accommodations needed on the basis of physical or mental disabilities or sincerely held religious beliefs. 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
We will consider for employment qualified applicants with criminal histories, consistent with applicable law.
Corebridge Financial, is committed to being an equal opportunity employer and we comply with all applicable federal, state, and local fair employment laws. All applicants will be considered for employment based on job-related qualifications and without regard to race, color, religion, sex, gender, gender identity or expression, sexual orientation, national origin, disability, neurodivergence, age, veteran status, or any other protected characteristic. The Company is also committed to compliance with all fair employment practices regarding citizenship and immigration status. At Corebridge Financial, we believe that diversity and inclusion are critical to building 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 colleagues are respected as individuals and valued for their unique perspectives.
Corebridge Financial is committed to working with and providing reasonable accommodations to job applicants and employees, including any accommodations needed on the basis of physical or mental disabilities or sincerely held religious beliefs. 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
TalentandInclusion@corebridgefinancial.com
. Reasonable accommodations will be determined on a case-by-case basis, in accordance with applicable federal, state, and local law.We will consider for employment qualified applicants with criminal histories, consistent with applicable law.
To learn more please visit:
www.corebridgefinancial.com
Functional Area:
CP - Compliance
Estimated Travel Percentage (%): Up to 25%
Relocation Provided: No
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