Field Compliance Specialist

Corebridge Financial • TX-Houston • Full-time

$73,900

per year

Insurance Compliance Team Leadership risk management investigations

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 You’ll Work With

We are seeking a strategic and analytical leader to serve as Manager of Sales Practice Investigations for our life insurance and annuity business lines. This role is responsible for building and managing a risk-based investigation program focused on identifying and addressing improper or non-complaint sales practices by agents. The Manager will lead a team of investigators, develop programmatic infrastructure, and use data-driven insights to detect outlier behaviors and ensure appropriate action is taken in accordance with regulatory and company standards.

About The Role

Responsibilities

Team Management: Lead, supervise, and develop a team of Investigation Analysts, providing guidance, training, and coaching to ensure they have the necessary skills and expertise to conduct thorough investigations.
Investigation Oversight: Oversee the investigation process, ensuring that all investigations are conducted in a fair, impartial, and thorough manner, and the findings are well-documented and supported by evidence.
Compliance Expertise: Stay up-to-date with relevant insurance laws, regulations, and company procedures, providing expertise and guidance to the investigation team on compliance matters.
Risk Assessment: Identify, assess, and mitigate risks associated with non-compliant agent activities, developing and implementing strategies to prevent future occurrences.
Case Management: Review and manage investigation cases, ensuring that they are properly prioritized, investigated, and resolved in a timely and effective manner.
Collaboration: Collaborate with other departments, such as Audit, Risk, Legal, Distribution, and Operations to ensure a comprehensive approach to compliance and risk management.
Reporting and Metrics: Develop and track key performance indicators (KPIs) to measure the effectiveness of the investigation team and provide regular reports to senior management on investigation results and trends.
Policy and Procedure Development: Develop, implement, and maintain policies and procedures to ensure compliance with insurance laws and regulations, and to prevent similar violations in the future.
Special Projects: Participate in special projects and initiatives, such as audits, exams, or other compliance-related activities, as required.

Skills and Qualifications

Bachelor’s degree preferred; advanced degree or certifications (e.g., FLMI, JD, CRCM, CLU) a plus
5+ years of experience in compliance, investigations, or supervision of insurance industry; at least 2 years in a management role or equivalent experience
Strong knowledge of the insurance industry, including life insurance and annuity products, and relevant laws and regulations, such as state insurance codes and federal regulations
Leadership and management skills, with the ability to motivate and develop a team of investigation analysts
Strong analytical and problem-solving skills, with the ability to analyze complex data and identify trends and patterns
Excellent written and verbal communication skills, with the ability to effectively communicate complex compliance issues to both technical and non-technical stakeholders

Compensation

The anticipated salary range for this position is $73,900 to $110,000 at the commencement of employment. Not all candidates will be eligible for the upper end of the salary range. The actual compensation offered will ultimately be dependent on multiple factors, which may include the candidate’s geographic location, skills, experience and other qualifications.

In addition, the position is eligible for a discretionary bonus in accordance with the terms of the applicable incentive plan.

Corebridge also offers a range of competitive benefits as part of the total compensation package, as detailed below.

Work Location

This position is based in Corebridge Financial’s Woodland Hills, CA office.

Estimated Travel

Minimal travel.

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 TalentandInclusion@corebridgefinancial.com. 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

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