Supervisory Principal

Corebridge Financial; Georgia; On-site; USD 55,000 - 75,000; Full time

Benefits offered by this job

401(k) matching up to 6%

Company contribution up to 3%

Volunteer Time Off

Paid Time Off 24 days

Job summary

Corebridge Financial is seeking a Transaction Review Analyst to conduct suitability reviews for pre‑approval transactions and mitigate compliance risks. The role involves reviewing submissions, obtaining needed information from financial professionals, and coordinating with internal partners to meet service levels.

Ideal candidates have 2+ years in Financial Services with FINRA licenses (7/24 preferred) and strong communication, data analysis, and writing skills.

Qualifications

• At least 2+ years of experience in Financial Services, preferably in a supervision capacity.
• Active FINRA licenses: Series 7 and Series 24; Series 53 encouraged; Series 66/63/65 preferred.
• Strong communication, data analysis, and business writing skills are essential.

Responsibilities

• Review transaction submissions for risk and regulatory issues.
• Coordinate with financial professionals to obtain suitability information and forms.
• Facilitate coordination between financial professionals and operations to meet SLA.
• Manage relationships with business partners and escalate issues as needed.
• Research complex requests and provide problem resolution with sales or product sponsors.
• Communicate issues to Senior Management and stay current on market trends.
• Investigate and report issues to management, auditors, or regulators.
• Prioritize work and propose solutions with maximum positive impact.

Skills

Communication skills

Data analysis

Presentation

Business writing

Organized

Independent thinking

Adaptable

Education

FINRA Series 7

FINRA Series 24

FINRA Series 53

Series 66

Series 63

Series 65

Job description

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 align to a set of Values that are the core pillars that define our culture and help bring our brand purpose to life:

• 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.

Who we are

Corebridge Financial helps people make some of the most meaningful decisions they're 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

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 directedManage 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

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 CorebridgeFinancial's Houston, TXoffice and is subject to our hybrid working policy,whichgivescolleaguesthe benefits ofworkingboth inanoffice andremotely.

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.

We are an Equal Opportunity Employer

Corebridge Financial, is committed to being an equal opportunity employer and we comply with all applicable federal, state, and local fair employment laws. All applicants will be considered for employment based on job-related qualifications and without regard to race, color, religion, sex, gender, gender identity or expression, sexual orientation, national origin, disability, neurodivergence, age, veteran status, or any other protected characteristic. The Company is also committed to compliance with all fair employment practices regarding citizenship and immigration status. At Corebridge Financial, we believe that diversity and inclusion are critical to building 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 colleagues are respected as individuals and valued for their unique perspectives.

Corebridge Financial is committed to working with and providing reasonable accommodations to job applicants and employees, including any accommodations needed on the basis of physical or mental disabilities or sincerely held religious beliefs. If you believe you need a reasonable accommodation in order to search for a job opening or to complete any part of the application or hiring process, please send an email to [e-mail]. Reasonable accommodations will be determined on a case-by-case basis, in accordance with applicable federal, state, and local law.

We will consider for employment qualified applicants with criminal histories, consistent with applicable law.

To learn more please visit: www.corebridgefinancial.com

Functional Area:

CP - Compliance

Estimated Travel Percentage (%): No Travel

Relocation Provided: No

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