Supervisory Principal

corebridgefinancial; Houston (TX); Hybrid; USD 65,000 - 90,000; Full time

Benefits offered by this job

Health and wellness benefits

401(k) with company match

Employee Assistance Program

Charitable donations match

Job summary

Corebridge Financial in Houston, TX is seeking a Transaction Review Analyst to perform suitability reviews for pre-approved business and mitigate compliance risk. The role requires strong data analysis and communication with financial professionals.

The position is hybrid, based in Corebridge's Houston office, and offers opportunities to collaborate across departments while ensuring regulatory alignment and timely processing.

Qualifications

• Minimum 2+ years of experience in Financial Services.
• FINRA Series 7 required.
• Series 24 required; 53 encouraged; 66 preferred.
• Strong data analysis and communication skills.

Responsibilities

• Review transactions for risk and regulatory issues.
• Obtain suitability information from financial professionals.
• Coordinate with internal partners to meet SLAs.
• Research and escalate issues to management.
• Maintain relationships with business partners.
• Respond to complex requests from sales teams.
• Escalate issues to senior management.
• Stay current on industry trends.
• Manage priorities and deadlines.

Skills

Financial analysis

Data analysis

Communication

Regulatory compliance

Education

FINRA Series 7

FINRA Series 24

FINRA Series 53 encouraged

Series 66 preferred

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.

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 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

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 Corebridge Financial's Houston, TX office and is subject to our hybrid working policy, which gives colleagues the benefits of work ing both in an office and remotely .

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: