Risk & Controls Specialist

Overview

At Corebridge Financial, we believe action is everything. We partner with financial professionals and institutions to help more people take action in their financial lives, for today and tomorrow. We align to a set of values that define our culture and 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 Risk & Controls Specialist will oversee risk management activities, regulatory compliance oversight, and governance processes within the dually registered broker-dealer / RIS for Retirement Services. This role partners with senior leadership to develop, implement, and monitor risk management strategies while ensuring business operations comply with regulatory requirements and internal policies. The specialist leads policy and procedure governance, regulatory examinations, internal audits, and ongoing risk monitoring.

This role also supports complaint trend oversight, remediation effectiveness, and control enhancements. The position requires strong regulatory knowledge, leadership capabilities, and the ability to navigate a complex organizational structure while collaborating across business functions.

• Develop, implement, and oversee risk management strategies designed to identify, assess, and mitigate operational, regulatory, and reputational risk.
• Lead governance activities related to the development, maintenance, and oversight of the firm s procedures and control framework.
• Ensure business operations comply with applicable FINRA, SEC, and other regulatory requirements, as well as internal policies and standards.
• Assist with coordination of internal audits and regulatory examinations.
• Partner with business unit leaders and compliance teams to assess risk and implement corrective actions, where needed.
• Oversee monitoring activities designed to evaluate the effectiveness of internal controls.
• Analyze complaint trends, operational data, and risk indicators to identify emerging risks and recommend improvements.
• Prepare detailed reports, presentations, and risk assessments for senior management regarding risk exposure, mitigation strategies, and control effectiveness.
• Support enterprise risk initiatives and contribute to broader organizational risk governance program.
• Lead or support special projects, as needed, related to risk, regulatory readiness, and operational improvements.
• Build strong cross-functional partnerships to ensure effective communication and alignment.

• Bachelor’s degree preferred
• Minimum 5 years’ related experience in brokerage, financial services, compliance, or risk management
• Series 7 license preferred
• Experience supporting or managing regulatory examinations, internal audits, or compliance reviews
• Demonstrated experience developing and managing policies, procedures, and control frameworks.
• Excellent written and verbal communication skills, including ability to present complex topics to senior leadership.
• Ability to navigate a complex organizational structure and build productive relationships across business functions
• Proven ability to manage multiple projects in a fast-paced environment while meeting deadlines

This position is based in Corebridge Financial’s Houston, TX office and is subject to our hybrid working policy, which gives colleagues the benefits of working both in an office and remotely.

• Health and Wellness:
  Medical, dental, and vision insurance plans, plus mental health support and wellness initiatives.
• Retirement Savings: 401(k) plan with company matching contribution up to 6% of eligible pay and a company contribution of 3% of eligible pay. Contributions vest immediately.
• Employee Assistance Program:
  Confidential counseling services and…