Chief Compliance Officer, Sales Practices

Chief Compliance Officer, Sales Practices

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.

The Chief Compliance Officer, Sales Practices (CCO-SP) serves as the compliance executive responsible for oversight of all regulatory and compliance activities for Sales Practices related to the sales and distribution of Corebridge Financial's individual life insurance, individual annuities, group annuities, and group retirement products for both third-party distribution and affiliate distribution.

This role focuses on both the front-end sales process and suitability requirements as well as investigations into sales practices matters and other matters requiring internal investigation.

The CCO-SP would manage the leaders of the Suitability Compliance team and the Investigations team, and they will be responsible for the sales and distribution aspects of ensuring that the firm's retirement, annuity, and life insurance businesses operate within a robust, risk-based compliance framework aligned with enterprise standards, while enabling strategic growth and client confidence. The CCO-SP will also serve as the Chief Compliance Officer of the affiliated Insurance Agency and have primary responsibility for Corebridge Direct.

The position reports functionally to the Chief Compliance Officer, U.S. Insurance Companies (CCO), and partners closely with business and functional leaders on the business unit teams.

Strategic Compliance Leadership

• With a focus on Sales Practices, support the CCO in developing and executing a comprehensive compliance program that supports the company's mission of helping clients plan and invest for retirement and long-term financial security.
• As needed, collaborate with CCOs of the affiliated broker-dealers, RIA, and mutual fund complex.
• Partner with enterprise corporate compliance teams to ensure consistent standards and efficient execution.

Governance and Oversight

• Oversee compliance policies, risk assessments, and monitoring programs across relevant regulated entities and/or business lines.
• As needed, ensure effective management of regulatory examinations and inquiries from the SEC, FINRA, DOL, state insurance departments, and other regulators.
• Participate in business unit Boards and Committees as appropriate.
• Maintain reporting protocols that deliver transparency into compliance risks, emerging issues, and program effectiveness.

Culture and Conduct

• Promote a culture of ethics, integrity, and accountability throughout the retirement and insurance businesses.
• Partner with the CCO, Human Resources, Operations, and Sales leadership to reinforce conduct expectations, training, and supervisory controls.
• Serve as a visible and trusted voice for "doing what's right for clients," consistent with the firm's ethical, fiduciary and suitability obligations.

Regulatory Engagement

• Participate in and, as called on, lead exam readiness and remediation efforts across relevant affiliated entities.
• Stay ahead of evolving regulatory trends affecting the retirement plan, annuity, insurance, and wealth management sectors.

Enterprise Collaboration

• Collaborate with the enterprise compliance shared services model to ensure alignment on risk assessment, monitoring, testing, and reporting methodologies.
• Contribute to enterprise-wide compliance initiatives, governance enhancements, and technology modernization efforts.
• Support integration of new compliance tools, artificial intelligence, data analytics, and automation capabilities.

Skills & Qualifications

• 10+ years of experience in compliance or legal roles within the sales practices sector of the financial services industry, including leadership experience in broker-dealer, RIA, or insurance company compliance.
• Demonstrated ability to support multiple regulated entities and lead through matrixed governance structures.
• Strong working knowledge of FINRA, SEC, DOL, and state insurance regulations.
• Proven track record in sales practices and suitability compliance program design.
• Exceptional leadership, communication, and interpersonal skills; ability to influence and partner across complex organizations.
• JD or equivalent advanced degree preferred; relevant certifications, including FINRA licenses, a plus but not required.
• Strategic and Integrative Thinker: Connects enterprise risk objectives to business goals.
• Builder of People and Teams: Values diversity and develops strong, empathetic, and empowered compliance leaders.
• Trusted Advisor: Balances business acumen and support with regulatory discipline.
• Collaborative Leader: Operates effectively within shared services and center-of-excellence frameworks.
• Change Agent: Guides compliance modernization and technology adoption and drives continuous improvement.

Compensation

The anticipated base salary range for this position is $160,000 to $180,000 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 Houston, TX (preferred) or Woodland Hills, CA office and is subject to our hybrid working policy, which gives colleagues the benefits of working both in an office and remotely. Remote applicants will also be considered.

Estimated Travel

Minimal travel.

This role is deemed a "covered associate" under SEC Rule 206(4)-5, 17 CFR § 275.206(4)-5, Political contributions by certain investment advisers, and other federal and state pay-to-play rules. Candidates for the role must not have made any political contributions that, under 17 CFR § 275.206(4)-5 or other federal or state pay-to-play regulations, would disqualify the candidate or Corebridge Financial from conducting Corebridge Financial's business, or that would otherwise create a conflict of interest for Corebridge Financial. Applicants who are selected to move forward with the application process will be required to disclose all U.S. political contributions they and their household family members have made over the past two years.

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.

• 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.</