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.

Work Location

This position is based in CorebridgeFinancial019s Houston, TXoffice and is subject to our hybrid working policy,whicha0givescolleaguesthe benefits ofworkingboth ina0ana0office anda0remotely.

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:

• 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: