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Chief Compliance Officer

Company: Insurance, Houston, TX
Location: Houston
Posted on: May 25, 2018

Job Description:

We have an exciting opportunity for a Chief Compliance Officer to join our compliance team supporting our VALIC Financial Advisors (“VFA”) entity. You will lead a team of compliance professionals and proactively provide strategic and tactical advice to business partners and other stakeholders. This position will be located in Houston, Texas, reporting to the Group Retirement, Chief Compliance Officer. Specific responsibilities will include: Drive the Firm’s compliance program working closely with all stakeholders who ensure compliance with federal, state, and self-regulatory rules/regulations, and Firm policies and procedures. Oversee the development, maintenance and enhancement of all relevant policies and procedures based upon regulatory requirements, industry practices and established controls. Oversee and perform compliance and risk assessment reviews. Perform, coordinate, and manage timely responses to regulatory inquiries and exams. Implement and maintain AML and sanction programs. Providing strategic advice and periodic training on federal, state, and FINRA rules, regulations and Firm policies. Perform, manage, and lead compliance staff performing surveillance, office exams, the handling of customer complaints, reviewing advertising and marketing materials, identifying and escalating compliance matters and the timely and accurate completion of all regulatory filings including forms ADV, BD, U4, and U5. Stay current in all applicable regulatory requirements and proving guidance on changes to such requirements. Job Qualifications: At least 10+ years of relevant experience including prior experience managing a team of compliance professionals. Prior experience as a CCO strongly preferred. Prior professional experience of working at a regulatory organization strongly preferred. Demonstrated ability to influence and work effectively and cross-functionally within a highly-matrixed organization with internal and external stakeholders at all levels. Self-starter with the ability to meet or exceed deadlines, prioritize, multi-task, and maintain flexibility in fast-paced, changing environment. Strong critical thinking skills and the ability to confront difficult issues in a professional, assertive, and proactive manner. Exceptional communication skills. Excellent organizational, written, verbal and presentation skills including the ability to interpret and communicate compliance guidance internally and to effectively communicate with regulators. Deep understanding of securities, insurance and ERISA requirements regarding qualified and non-qualified retirement plans, life insurance, fixed and variable annuities and mutual funds. An undergraduate degree. MBA or law degree strongly preferred. Possess a FINRA series 7, 24 and 65/66 licenses.

Keywords: Insurance, Houston, TX, Sugar Land, Chief Compliance Officer, Executive, Houston, Texas

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