Risk & Controls Specialist

About the Role

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 closely with senior leadership to develop, implement, and monitor risk management strategies while ensuring business operations comply with regulatory requirements and internal policies.

• 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 provides the benefits of working both in an office and remotely.

• Health and Wellness:
  Range of medical, dental, and vision insurance plans, mental health support, and wellness initiatives to promote overall well‑being.
• Retirement Savings:
  Competitive 401(k) Plan with dollar‑for‑dollar company matching contribution up to 6% of eligible pay and company contribution equal to 3% of eligible pay (vests immediately).
• Employee Assistance Program:
  Confidential counseling services and resources 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.
• Paid Time Off:
  Eligible employees start with at least 24 Paid Time Off (PTO) days.

Corebridge Financial is committed to being an equal‑opportunity employer and complies with all applicable federal, state, and local fair employment laws. All applicants will be considered for employment based on job‑related qualifications and without regard to race, color, religion, sex, gender, gender identity or expression, sexual orientation, national origin, disability, neurodivergence, age, veteran status, or any other protected characteristic. The company also complies with all fair employment practices regarding citizenship and immigration status.

We will consider for employment qualified applicants with criminal histories, consistent with applicable law.

Corebridge Financial is committed to working with and providing reasonable accommodations to job applicants and employees, including any accommodations needed on the basis of physical or mental disabilities or sincerely held religious beliefs. If you need a reasonable accommodation to search for a job opening or to complete any part of the application or hiring process, please send an email to Talentand Incl Reasonable accommodations will be determined on a case‑by‑case basis, in accordance with applicable federal, state, and local law.