Senior Transaction Review Lead

American General Life Insurance Company; Houston (TX); Hybrid; USD 60,000 - 90,000; Full time

Benefits offered by this job

Health insurance

401(k) matching

Paid time off

Employee assistance program

Volunteer time off

Matching charitable donations

Job summary

Corebridge Financial is seeking a Transaction Review Analyst in Houston to conduct suitability reviews for business requiring firm pre-approval, including mutual fund purchases, annuities, and advisory service recommendations. The role involves mitigating compliance risk and coordinating with financial professionals and internal partners.

Based in our Houston, TX office, this position offers a hybrid work policy, balancing in-office collaboration with remote work.

Qualifications

• At least 2+ years 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.

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 elevate 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

Skills

Communication

Data analysis

Presentation skills

Organization

Independent thinking

Adaptability

Education

FINRA Series 7

FINRA Series 24

FINRA Series 53

FINRA Series 66 (preferred)

Job description

Corebridge Financial is seeking a Transaction Review Analyst in Houston to conduct suitability reviews for business requiring firm pre-approval, including mutual fund purchases, annuities, and advisory service recommendations. The role involves mitigating compliance risk and coordinating with financial professionals and internal partners.

Based in our Houston, TX office, this position offers a hybrid work policy, balancing in-office collaboration with remote work.