Advisor Group Chief Compliance Officer
The Advisor Group CCO reports directly to the SunAmerica Financial Group CCO with matrix reporting to the President and CEO of Advisor Group. This position has responsibility for managing the enterprise-wide compliance program as well as the individual broker-dealer compliance units. The successful candidate will emphasize cross-team collaboration; and will enhance how we communicate the state of compliance to the Advisor Group Senior Leadership Team.
RESPONSIBILITIES
* Manages the day-to-day activities of compliance officers responsible for each of the Advisor Group broker-dealers, including the oversight of the advisor affiliation process.
* Superior communication skills; has the ability to simply the message depending on the intended audience.
* Partners effectively with Advisor Facing, Operations, IT, Finance, Supervision and Business Development departments to advance Advisor Group initiatives.
* Provides recommendations to various business units (identified above) regarding the implementation of new rules and regulations.
* Strong relationship with regulators (e.g. FINRA district committee membership).
* Supports the identification of, and response to, compliance risk within the organization.
* Develops and implements an enterprise level risk mitigation plan that both protect the firm's reputation and financial standing while allowing the business to grow.
* Effectively manages initiatives presented by the parent company and positions Advisor Group as a respected member of the larger corporation.
* Strong people manager with experience leading large teams.
* Stays current on trends in our business; maintains good external network and is aware of our competitors' strategies and major operational initiatives.
* Makes a broad range of decisions, yet communicates and escalates issues as appropriate to the Senior Leadership Team.
* Minimum 15 years of experience managing compliance-related activities.
* Previous work experience with an independent broker-dealer.
* Highly knowledgeable in FINRA, SEC and state securities rules and regulations.
* Excellent ability to interpret and communicate regulatory guidance.
* Team player with the ability to work cross-functionally throughout the organization to achieve consensus on regulatory risk issues and appropriate mitigation.
* Ability to effectively communicate with regulatory agency staff outside of the examination process.
* Series 7, 24, 66/65; JD preferred.
* Travel approximately 40%.
About AIG
American International Group, Inc. (AIG) is a leading international insurance organization serving customers in more than 130 countries and jurisdictions. AIG companies serve commercial, institutional, and individual customers through one of the most extensive worldwide property-casualty networks of any insurer. In addition, AIG companies are leading providers of life insurance and retirement services in the United States.
AIG Property Casualty is a global market leader, one of the few truly global property casualty franchises.
AIG Life and Retirement is one of the largest life insurance organizations in the U.S., and provides protection, investment and income solutions needed for financial and retirement security.
United Guaranty Corporation is the marketplace leader in mortgage insurance in the U.S.
Additional information about AIG can be found at www.aig.com | YouTube: www.youtube.com/aig | Twitter: @AIG_LatestNews | LinkedIn: www.linkedin.com/company/aig
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