About The Role
The Risk & Controls Specialist will be responsible for overseeing risk management activities, regulatory compliance oversight, and governance processes within the dually registered broker-dealer / RIS for Retirement Services. This role partners closely with senior leadership to develop, implement, and monitor risk management strategies while ensuring business operations comply with regulatory requirements and internal policies.
The specialist will lead efforts related to policy and procedure governance, regulatory examinations, internal audits, and ongoing risk monitoring. This role will also support the firms complaint trend oversight, remediation effectiveness, and control enhancements. The position requires strong regulatory knowledge, leadership capabilities, and the ability to navigate a complex organizational structure while collaborating across business functions.
Responsibilities:
- Develop, implement, and oversee risk management strategies designed to identify, assess, and mitigate operational, regulatory, and reputational risk.
- Lead governance activities related to the development, maintenance, and oversight of the firms procedures and control framework.
- Ensure business operations comply with appliable FINRA, SEC, and other regulatory requirements, as well as internal policies and standards.
- Assist with coordination of internal audits and regulatory examinations.
- Partner with business unit leaders and compliance teams to assess risk and implement corrective actions, where needed.
- Oversee monitoring activities designed to evaluate the effectiveness of internal controls.
- Analyze complaint trends, operational data, and risk indicators to identify emerging risks and recommend improvements.
- Prepare detailed reports, presentations, and risk assessments for senior management regarding risk exposure, mitigation strategies, and control effectiveness.
- Support enterprise risk initiatives and contribute to broader organizational risk governance program.
- Lead or support special projects, as needed, related to risk, regulatory readiness, and operational improvements.
- Build strong cross-functional partnerships to ensure effective communication and alignment.
Qualifications:
- Bachelor’s degree preferred
- Minimum 5 years’ related experience in brokerage, financial services, compliance, or risk management
- Series 7 license preferred
- Experience supporting or managing regulatory examinations, internal audits, or compliance reviews
- Demonstrated experience developing and managing policies, procedures, and control frameworks.
- Excellent written and verbal communication skills, including ability to present complex topics to senior leadership.
- Ability to navigate a complex organizational structure and build productive relationships across business functions
- Proven ability to manage multiple projects in a fast-paced environment while meeting deadlines
Work Location
This position is based in CorebridgeFinancial’sHouston, TXoffice and is subject to our hybrid working policy,whichgivescolleaguesthe benefits ofworkingboth inanoffice andremotely.
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.
Functional Area:
OP - Operations
Estimated Travel Percentage (%): No Travel
Relocation Provided: No
American General Life Insurance Company
