Supervision Analyst

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 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.

Under the guidance of a Senior Supervision Analyst, an Associate Analyst is expected to work toward becoming familiar with the firm’s products, services, and systems while obtaining appropriate licenses to perform supervision and surveillance functions. The analyst will develop skills to assist in the analyzation of associated persons’ sales activity to identify trends and patterns, and complete secondary transaction review. Supervision Analysts collaborate closely with the firm’s various Compliance departments and field leadership to preserve the interest of our clients by detecting and mitigating conflicts of interest.

A Supervision Analyst provides exceptional service and support to our business partners by delivering timely and thoughtful analysis of data collected in proprietary reports, surveillance systems and by individual referrals.

• Analyze, identify, and resolve complex issues discovered during routine surveillance.
• Work with third‑party vendors, representatives, financial advisors, and internal business partners.
• Respond to inquiries from compliance, field leadership, financial advisors and internal business partners regarding sales activity, policies, and procedures.
• Participate in the creation and issuance of written procedures.
• Communicate and elevate issues as appropriate to the Senior Management.
• Stay current on regulatory trends in our business.
• Manage priorities and deadlines, understanding the impact to other areas and proposing solutions with the greatest positive impact.

• Excellent customer service and communication skills
• Well organized and meticulous
• Able to exercise independent thought and decision making.
• Ability to work in a fast‑paced and ever‑changing environment.
• Strong presentation and business writing skills
• Demonstrated ability to manage multiple tasks and projects simultaneously, prioritize competing work efforts, manage time effectively and without supervision.
• Able to establish and maintain effective relations with external and internal business partners.

• At least 2+ years of experience in Financial Services preferably in a supervision, compliance, or suitability review
• FINRA Series 7 required.
• FINRA Series 63, Series 65, or Series 66 preferred
• FINRA Series 24 and Series 53 preferred
• Must have the ability to obtain preferred licenses within 120 days hire.

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.

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.

• 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…