HighlightsJob ID: AG 224Position Type: Full Time – RegularLocation: GA-AtlantaRelocation: NoRequirements: · 2+ years experience in Compliance or Branch Exams.
· Knowledge of the retail brokerage business and common investment products including mutual funds, variable annuities, alternative investments, stocks, and bonds (Strength in variable annuities and mutual funds strongly preferred.
)· Series 7 required · Series 24 preferred · Insurance license preferred · Strong verbal and written communications skills required· Ability to analyze large amounts of trade data and to think through complex compliance issues· Must be detail-oriented, investigative and have the ability to handle a high volume of work independently.
· Ability to interpret the Sales Practice Manual, NASD manual, NASD Notices to Members, Compliance notices and other publications concerning broker/dealer regulation· Proficiency in MS Office (strength in MS Excel a plus)Education: TechnicalExperience: 3-5 yearsDescription: As a Surveillance Analyst you will be responsible for the following: * Review Representative business for common risk and regulatory issues.
* Create Representative summaries detailing negative trends including high rates of variable annuity replacements, mutual fund B-share and C-share concentrations, high rates of mutual fund switching, alternative investment liquidity issues, etc.* Deliver trend summaries to Internal Supervision, Branch Examination and Senior Management teams for review and follow up. * Participate in the creation and issuance of Compliance Manuals, Written Procedures and Compliance communicationsAbout Us: SunAmerica Financial Group is the fourth largest life insurance organization in the United States based on more than $221 billion of admitted assets as of September 30, 2009.
It is comprised of several leading life insurance and retirement services businesses, including American General Life Companies, AGLA, VALIC, Western National Life Insurance Company, SunAmerica Retirement Markets, SunAmerica Mutual Funds, SunAmerica Affordable Housing Partners, FSC Securities, Royal Alliance and SagePoint Financial.
The unified businesses, which comprise the domestic life and retirement services unit of AIG, offer a comprehensive suite of life insurance, retirement savings products and guaranteed income solutions through an established multi-channel distribution network that includes banks, national, regional and independent broker-dealers, career financial advisors, wholesale life brokers, insurance agents and a direct to consumer platform.
Equal Opportunity Employer.
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