AGSI Compliance Officer

Purpose:
AGSI Compliance Officer

Highlights
AIG Job ID: AGTH-CO
Position Type: Full Time - Regular
Location: TX-Houston
Relocation: No

Requirements
Education: Bachelors
Experience: 3-5 years

Job Description:
Compliance Officer – Field Education & Review


Purpose of the Job
The Compliance Officer is responsible for conducting on-site field office inspections as assigned, in order to ensure that all SEC, NASD, State Regulations and AGSI policies are being followed. He/She will also assist in the delivery of Annual Compliance Meeting presentations, and other compliance related projects as assigned.

Essential Duties
Complete audit preparation work such as review of commission statements, Albridge Reports, RegEd Compliance Questionnaires, etc
Conduct a comprehensive on-site Books & Records and Sales Practice review of the Registered Representatives and OSJ offices of AGSI
Document the inspection via RegEd Audit Trax and ensure that all deficiency items have been noted
Document evidence of corrective action as part of the audit follow-up process.
Submit a completed audit report and file upon closing of the audit
Assist the Compliance Department as needed with various projects such as Annual Compliance Meetings, review of regulatory checklist questionnaires, correspondence reviews, etc.
This position requires significant travel; 40-50% travel is typical.

Education and Experience
Bachelor’s degree or 3-5 years prior work experience within a broker-dealer environment. Previous compliance experience, including audit experience, is essential. NASD Series 7 and Series 24 are required.

About AIG:
American International Group, Inc. (AIG) is the world's leading international insurance and financial services organization, with operations in more than 130 countries and jurisdictions. AIG member companies serve commercial, institutional and individual customers through the most extensive worldwide property-casualty and life insurance networks of any insurer. In the United States, AIG companies are the largest underwriters of commercial and industrial insurance and AIG American General is a top-ranked life insurer. AIG's global businesses also include retirement services, financial services and asset management. AIG's financial services businesses include aircraft leasing, financial products, trading and market making.
AIG's growing global consumer finance business is led in the United States by American General Finance. AIG also has one of the largest U.S. retirement services businesses through AIG SunAmerica and AIG VALIC, and is a leader in asset management for the individual and institutional markets, with specialized investment management capabilities in equities, fixed income, alternative investments and real estate. AIG's common stock is listed in the U.S. on the New York Stock Exchange and ArcaEx, as well as the stock exchanges in London, Paris, Switzerland and Tokyo.

AIG is an Equal Opportunity Employer.
REQUIREMENTS
Please see Job Description