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Senior Field Supervision Associate
American International Group
Houston, TX, United States
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Estimated Travel Percentage (%): No Travel
Relocation Provided: No
You will be a key contributor for coordination and execution of the Supervision program for VALIC Financial Advisors, Inc. (“VFA”). You will be responsible for a variety for items supporting VFA under the direction of the Associate Director of Field Supervision.
Responsibilities:
• Manage and maintain Supervisory policy and procedures
• Respond to regulatory inquiries and exams
• Act as liaison to internal business partners, such as Compliance, Operations, and Sales Technology
• Work with field supervision to supply Letters of Education and Letters of Caution
• Manage Heightened Supervision protocols for advisors
• Maintaining flexibility as it relates to the ever-changing regulatory environment and associated technology
• Act as a project manager for Supervision improvement efforts
• Run regular reports to assist in Supervision management functions
• Support the field and home office as it relates to matters of Supervision
• Support the Associate Director and VP of Supervision as needed
Qualifications:
• Bachelor's Degree preferred
• 5-7+ years’ experience within the broker dealer, investment advisory, or similar environment is ideal
• Series 7, 63/65 and 24 License is required. May obtain within first year.
• Experience in annuity and brokerage products is preferred
• Experience in project management preferred
• Must have up to date knowledge on regulatory trends and best practices
• Strong verbal and written communication skills
• Teamwork attitude is a must
• Experience working with Microsoft Office products
• Strong report building skills is required
It has been and will continue to be the policy of American International Group, Inc., its subsidiaries and affiliates to be an Equal Opportunity Employer. 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.
At AIG, 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.