Chief Compliance Officer, Sales Practices

Corebridge Financial Services

Houston, TX, US
Base: $160,000 to $180,000; bonus: discretionary b...
Hybrid
10+ years compliance experience in sales practices
Leadership of suitability and investigations teams
Knowledge of finra sec dol regulations
The Chief Compliance Officer, Sales Practices oversees regulatory activities for life insurance, annuities, and retirement products across third-party and affiliate distributions

Job Summary

  • The Chief Compliance Officer, Sales Practices oversees regulatory activities for life insurance, annuities, and retirement products across third-party and affiliate distributions.
  • This role manages the Suitability Compliance and Investigations teams to ensure operations align with a robust risk-based compliance framework while enabling strategic growth.
  • Corebridge Financial offers a comprehensive benefits package including immediate vesting 401(k) matching up to 6% and up to 24 days of Paid Time Off.

Matching Summary

The Chief Compliance Officer, Sales Practices oversees regulatory activities for life insurance, annuities, and retirement products across third-party and affiliate distributions.

Salary

Base: $160,000 to $180,000; Bonus: Discretionary bonus eligible; Benefits: Medical, dental, vision, 401(k) match, PTO

Skills & Requirements

Must-have

  • 10+ years compliance experience in sales practices
  • Leadership of suitability and investigations teams
  • Knowledge of FINRA SEC DOL regulations
  • Experience with broker-dealer or RIA compliance

Nice-to-have

  • JD or equivalent advanced degree preferred
  • FINRA licenses as a plus
  • Strategic integrative thinking capabilities
  • Empathetic leadership style

Key Requirements

  • 10+ years experience in financial services compliance
  • JD or equivalent advanced degree preferred
  • FINRA licenses (plus but not required)

Work Rights

Not specified

Tailored Resume

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