Control Room & Employee Compliance Officer
Corebridge Financial
Houston, TX
$73,000 - $85,000 a year
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 Investments Compliance team is actively seeking a Compliance Officer who will join its Code of Ethics & Employee Compliance team.
Responsibilities
This role will have two primary responsibilities:
Execute the compliance program related to securities laws prohibiting transactions based on material non-public information (“MNPI”), which includes:
- Administering the process of receiving employee notifications, determining materiality of information, adding or removing securities from the Watch/Restricted Lists,
- Reviewing alerts generated for transactions in Watch/Restricted List securities,
- Training employees in the evolution of regulatory views of materiality and adjusting policies and procedures as needed,
- Maintaining controls around the businesses use of expert networks, and
- Maintaining controls around potential approved “cross-barrier” communications.
Administer the compliance program related to electronic communications archiving and surveillance, which includes:
- Creating employee profiles to initiate archiving and surveillance of employee electronic communications,
- Designing the surveillance policies/lexicons which will trigger alerts requiring review,
- Developing policies and procedures for the review of alerts, dispositioning, and escalation,
- Verifying compliance team members responsible for the review and disposition of alerts are doing so within timelines, and
- Producing reporting for management that will indicate the ongoing effectiveness of the program.
Note, this role will not review electronic communications alerts as a primary responsibility but will be required to occasionally backup other team members in the review of alerts.
The secondary responsibility of this role will be to backup team members in administering the Code of Ethics (ex. personal transaction monitoring, gifts & entertainment monitoring, outside business activities review and approval).
Skills and Qualifications
The ideal candidate for this role understands the pillars of Compliance: Policies & Procedures, Monitoring & Testing, Advice & Guidance, Issue Remediation & Reporting, Training, and Risk Assessment, and takes ownership in the execution of each pillar with respect to the candidate’s responsibilities or areas of coverage. This role requires “getting in the weeds” acquiring a deep understanding of the types of securities in which we transact, the roles of different employees and groups within the business and support functions, and the ability to create policies/procedures based on that information to achieve the goals of the compliance program.
Candidates will be expected to possess the following professional knowledge and personal attributes:
- At least 5 years of experience in financial services with progressive increases in responsibility.
- Current understanding of regulatory rules related to insider trading and MNPI, continuously develop that understanding through staying informed on industry guidance and regulatory views expressed in enforcement actions related to matters of insider trading, and the ability to apply that information in the development of policies, procedures, and routines to achieve the goals of the compliance program,
- High degree of intellectual curiosity and willingness to self-learn through reading regulatory releases and publications, inquiring with business and process owners, and applying past experiences from similar scenarios to current tasks and challenges,
- Ability to coordinate amongst other team members who do not report to you to achieve a common goal,
- Ability to confront conflict and difficult issues in a professional, assertive, collaborative and proactive manner,
- Highly organized, with the ability to verify, inspect, and record documentation supporting results and disposition of matters, and
- Must be proficient with MS Word, Excel, and Powerpoint.
Preferred, but not required, prior experience:
- Prior experience in a “Control Room” function of a bank, broker-dealer, investment manager, or similar financial institution.
- Prior experience in a compliance function of a broker-dealer or registered investment adviser.
Compensation
The anticipated salary range for this position is $73,000 to $85,000 at the commencement of employment. Not all candidates will be eligible for the upper end of the salary range. The actual compensation offered will ultimately be dependent on multiple factors, which may include the candidate’s geographic location, skills, experience and other qualifications.
In addition, the position is eligible for a discretionary bonus in accordance with the terms of the applicable incentive plan.
Corebridge also offers a range of competitive benefits as part of the total compensation package, as detailed below.
Work Location
This position is based in Corebridge Financial’s Houston, TX and Jersey City, NJ offices.
Estimated Travel
Minimal travel.
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 (%): No Travel
Relocation Provided: No
Corebridge Institutional Investments Holdings Corp.