Associate Supervision Analyst

Associate Supervision Analyst 

Who we are. 

Corebridge Financial helps people make some of the most meaningful decisions they are ever going to make. We help them plan and take action to protect the future they envision and respond to some of life’s most difficult moments through the solutions and services we provide. We do this through our broad product portfolio of life, retirement, and institutional products, offered through an extensive, multichannel distribution network. We provide solutions for a brighter future through our client centered service, breadth of product expertise, deep distribution relationships and outstanding, hardworking, and passionate employees.  

About the Role 

Under the guidance of a Senior Supervision Analyst, an Associate Analysts 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. 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. 

 Responsibilities 

• Analyze, identify, and resolve complex issues discovered during routine surveillance. 

• Working 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 escalate issues as appropriate to 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. 

Preferred Skills 

• 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. 

Qualifications and Education Requirements 

• At least 2 + years of experience in Financial Services preferably in 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 of hire.  

What our employees like most about working for Corebridge Financial 

• Our Giving Back policy is at the core of our daily operations. Corebridge provides up to 16 hours of volunteer time off. 

• Our people are our most important asset therefore we provide generous benefits and competitive pay. Benefits include: 

• Paid Time off: 24 PTO days to start. 

• 9 Paid holidays 

• A 401k which is HARD TO BEAT. $1 for $1 match, up to 6% with immediate vesting, plus Corebridge automatically contributes an additional 3% regardless of whether you enroll or not. 

We are an Equal Opportunity Employer 

Corebridge Financial, Inc., its subsidiaries, and affiliates, are committed to being an Equal Opportunity Employer and its policies and procedures reflect this commitment. We provide equal opportunity to all qualified individuals regardless of race, color, religion, age, gender, gender expression, national origin, veteran status, disability, or any other legally protected categories such as sexual orientation. At Corebridge Financial, we believe that diversity and inclusion are critical to our future and our mission – creating a foundation for 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 people are not only respected as individuals, but also truly valued for their unique perspectives. 

To learn more please visit: www.corebridgefinancial.com