AIG Compliance Manager in Houston, Texas

Compliance Manager

  • Job ID #:

151399

  • Functional Area:

Compliance

  • Estimated Travel Percentage (%):

5

  • Location(s):

TX-Houston

  • Employment Type:

Full Time - Permanent

  • Education Preferred:

Bachelors Degree (or equivalent)

  • Relocation Provided:

No

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Position Description:

American General Life Insurance Company has an opportunity for a Mutual Funds Compliance Manager in Houston, TX. The Mutual Funds Compliance Manager reports directly to the Chief Compliance Officer for Mutual Funds and will have the following responsibilities:

Oversee the following aspects of the Compliance programs for AIG’s retail and annuity mutual funds and investment advisers SAAMCo and VALIC including:

  • Management of Fund Compliance

  • Assist the Chief Compliance Officer with maintaining policies and procedures that are adequately designed to prevent, detect, and correct any federal violations from occurring.

  • Monitoring & Testing

  • Board Reporting

  • Sub-Adviser Due Diligence

  • Monitoring client portfolios for compliance with Prospectus/SAI & regulatory guidelines

  • Product Launches

  • Trade Error Analysis

  • Brokerage Approvals

  • Attend Valuation Committee and other committees as applicable

  • BCP

  • Oversee the Implementation and on-going administration of the SunGard Protegent tool for Compliance for employee personal trading.

  • Manage a small team responsible for functions including, but not limited to:

  • Code of Ethics administration

  • Sub-Advisor RFPs and certification processes

  • Market timing reporting

  • 38a-1 testing

  • Fund proxy voting

  • Mutual Fund pre-clearance and reviews

Position Requirements:

The ideal person for this role should have experience and knowledge in managing a compliance department, experience in monitoring and testing of compliance programs and knowledge of applicable laws and regulations impacting the Mutual Fund business background. Candidates will be expected to possess the following professional and personal attributes:

  • A strong educational background including an undergraduate degree and a minimum of 5 years of relevant experience. FINRA series 7 and 24 licenses preferred.

  • Demonstrated ability to influence and work effectively and cross-functionally within a highly-matrix organization with employees at all levels.

  • Ability to meet or exceed deadlines, prioritize, multi-task, and maintain flexibility in fast-paced, changing environment.

  • Strong problem-solving skills and the ability to confront conflict and difficult issues in a professional, assertive and proactive manner.

  • Excellent organizational, written, verbal skills.

  • Knowledge of the mutual fund business including products, compliance and administration. Knowledge of Federal Securities regulations, e.g., the Investment Company Act of 1940, the Investment Advisers Act of 1940, Securities Exchange Act of 1934

  • Ability to evaluate federal laws and regulations.

  • Ability to collect and evaluate financial, transactional or other data to determine trends.

About Us:

American International Group, Inc. (AIG) is a leading global insurance organization. Founded in 1919, today AIG member companies provide a wide range of property casualty insurance, life insurance, retirement products, and other financial services to customers in more than 80 countries and jurisdictions. These diverse offerings include products and services that help businesses and individuals protect their assets, manage risks and provide for retirement security. AIG common stock is listed on the New York Stock Exchange and the Tokyo Stock Exchange.

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