Field Compliance Specialist

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

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.

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.