Associate, Corporate Compliance

New York Life • New York, NY

114d • $70,000 - $90,000

About The Position

Corporate Compliance partners with diverse business units to develop and implement robust compliance programs, fostering integrity and minimizing risk. Collaborate with a dedicated team to craft practical policies, train employees, and ensure the company's actions align with core principles and external regulations. Your work helps to safeguard the company's reputation, empower responsible decision-making, and pave the way for sustainable growth. Eagle Strategies LLC is the Registered Investment Adviser within New York Life's Wealth Management Services division. As part of New York Life's Wealth Management Compliance team, you will be responsible for supporting the Wealth Management Compliance Manager with the implementation and monitoring of Eagle's compliance policies and programs.

Requirements

• Bachelor's Degree.
• Collaborative mindset and effective communicator (written and verbal).
• Ability to work in Microsoft Teams and Zoom for collaborations.
• Independent and self-directed professional.
• Intellectual rigor and curiosity.
• Business or compliance experience with a broker-dealer, registered investment adviser, or financial services company or related experience preferred.
• Intermediate Excel skills (Lookups, Pivot Tables, etc.).
• Microsoft Office proficient.
• FINRA Series 7 and Series 65 or 66 preferred.

Responsibilities

• Assist in the management of the annual client review attestation process to ensure Eagle's 1600+ advisors are in compliance with program guidelines.
• Monitor for timeliness of annual review completion.
• Provide training and support to advisors on system navigation and form completion.
• Complete supervisory reviews to document advisor outreach attempts to their clients.
• Provide reporting and analysis to identify risks and issues that may arise during the course of daily monitoring.
• Assist in the management of the Form ADV 2B update process to ensure advisors are in compliance with SEC requirements.
• Support Wealth Management Compliance projects and initiatives as needed.
• Proactively identify and resolve compliance issues that may arise during daily activities.

Benefits

• Leave programs.
• Adoption assistance.
• Student loan repayment programs.
• Annual discretionary bonus eligibility.
• Incentive program participation eligibility.

What This Job Offers

• Industry: Insurance Carriers and Related Activities
• Education Level: Bachelor's degree