Complaint Analyst

American International Group, Inc. (AIG) is a leading global insurance organization serving customers in more than 100 countries and jurisdictions. AIG companies serve commercial, institutional, and individual customers through one of the most extensive worldwide property-casualty networks of any insurer. In addition, AIG companies are leading providers of life insurance and retirement services in the United States.

The Customer Complaint Analyst will be responsible for reviewing and responding to customer complaints and completing all required regulatory filings (FINRA Rule 4530, Form U4 and Form U5). The analyst will analyze the written or verbal complaint, determine the underlying concern(s), gather information and documentation related to the complaint and provide the complainant with a response.

• Log the complaint in a timely manner
• Collaborate with Compliance, Supervision, Legal and Operations resources to ensure proper handling of complaint, including any required filings
• Work with advisors and supervisors to gather information and documentation required for the complaint file
• Identify and escalate complaints containing potential sales practice violations or that pose a higher risk to the Firm
• Close complaints in a timely manner (goal is within 30 days of receipt)
• Complete all required 4530(b), 4530(d) and Form U4/U5 filings within the appropriate timeframes
• Identity and share best practices or process improvements
• Assist in training new analysts
• Special projects as assigned

• FINRA Series 7 license is required
• FINRA Series 24 license is required, or must have ability to obtain within 90 days of hiring
• Strong verbal and written communication skills are required
• General Compliance Knowledge - Must have extensive knowledge of FINRA, SEC and Firm-specific rules and regulations
• Proficiency in MS Office applications (Word, Excel, Access)
• Working knowledge of FINRA Rule 4530 and Form U4/U5 is a plus
• Ability to interpret the Firm’s Sales Practice Manual, FINRA manual, FINRA Notices to Members, Compliance notices and other publications concerning broker/dealer regulation, and internal policies and procedures
• Knowledge of the retail brokerage business, fee based advisory business and common investment products including, but not limited to, mutual funds, variable annuities, alternative investments, stocks, and bonds
• Bachelors degree or equivalent experience