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Compliance Officer - Field Compliance Unit

Houston, TX, USA | Travel Guard

  • Industry:
    Insurance - General
  • Position Type:
  • Functions:
    Legal / Compliance
  • Experience:
    7-10 years
Job Description:
75 people have viewed this job

Conduct risk assessments of existing field compliance programs and implement enhancements, as necessary

Conduct agent investigations for individuals appointed with life and annuity companies

Prepare and/or review case summaries which may include a review of the agent’s book of business, disciplinary history and other information that may be relevant to determining if the agent’s appointments with AGL and/or USL should remain active

Analyze referrals from various sources and determine if there are allegations of agent sales practice abuses that require a book of business review or if the case should not be assigned

Manage a team of analysts, including ensuring that all referrals are accurately and timely logged in the Field Compliance database, that the database contains current status updates and cases are resolved in a timely fashion

Handle regulatory inquiries and conduct agent reviews, if applicable

Generate reports for management, including status and disposition of matters handled by the Field Compliance Unit

Work with distribution partners on the compliance termination process and ensure that all proper protocols are followed

Work with Chief Compliance Officer for Consumer Distribution on Producer Protocol Committee documents and potentially lead the meetings

Escalate any matters that may pose risk to the Company

Create and/or revise all policies and procedures, if necessary

Development of training modules, where appropriate

Assist with early warning indicator project impacting the appropriate business channels

Determine need for vendor solutions within the distribution compliance program and implement as necessary

All other duties as assigned


The ideal person for this role should have managerial experience and knowledge in managing a compliance department, including maintaining policies and procedures; overseeing compliance risk assessment processes; implementing compliance training programs; and monitoring and remediating potential violations of policy or law.You will be expected to possess the following professional and personal attributes:

A strong educational background including an undergraduate degree and a minimum of 8+ years of relevant experience, FINRA series 7, 24 and 65/66 licenses as well as prior employment with a broker-dealer preferred

Significant experience and knowledge of FINRA, SEC, state securities and firm-specific rules and regulations

Significant experience and understanding of the insurance industry, including knowledge of insurance regulations across the spectrum of AIG’s Consumer businesses, including retirement plans, life insurance, fixed and variable annuities and mutual funds

Significant experience in managing teams and ensuring that deadlines are effectively managed and guidance and training is provided to the team

Demonstrated ability to influence and work effectively and cross-functionally within a highly-matrix organization with employees 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 problem-solving skills and the ability to confront conflict and difficult issues in a professional, assertive and proactive manner

Excellent organizational, written, verbal and presentation skills including the ability to interpret and communicate compliance guidance internally and to effectively communicate with regulators


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