Corporate Compliance Associate - Testing & Monitoring
About The Position
As a member of the Testing and Monitoring Unit within New York Life's Corporate Compliance Department, you will contribute to the compliance oversight, corporate governance, examination readiness, and policy development for the Company's Foundational Business product lines to ensure compliance with FINRA Rules 3120/3130, SEC Rules 38a-1 and 206(4)-7, and the NAIC Suitability in Annuity Transactions Model Regulation 275. The ideal candidate will be able to evaluate and implement risk-based frameworks that align with evolving regulatory expectations.
Requirements
- Bachelor's degree required
- Strong written and verbal communication skills with the ability to collaborate effectively across teams;
- Strong analytical and problem-solving skills with the ability to interpret complex data and identify actionable insights;
- Proficient in virtual collaboration platforms, including Microsoft Teams and Zoom;
- Skilled in leveraging artificial intelligence tools (e.g., ChatGPT, Microsoft Co-Pilot) to enhance productivity and analytical work;
- Self-motivated with the ability to work independently and manage multiple priorities in a dynamic environment;
- Demonstrates intellectual curiosity, critical thinking, and sound judgment;
- Prior experience in business or compliance functions within a broker-dealer, registered investment adviser, financial services organization, or related industry preferred;
- Strong overall proficiency in Microsoft Office applications;
- This role requires FINRA Associated Person pre-hire fingerprinting
Nice To Haves
- FINRA Series 7, 63, and 24 licenses. Opportunities to obtain required licenses may be available after hire.
Responsibilities
- Execute compliance testing programs, ensuring robust supervisory controls and adherence to regulatory requirements;
- Contribute to the timely preparation of annual Board reports for NYLIFE Securities LLC (affiliated broker-dealer) and Eagle Strategies LLC (affiliated registered investment adviser) as well as the annual NAIC Model Regulation report - highlighting key compliance testing results, identified risks, and remediation efforts;
- Assist in the development, maintenance, and enhancement of field-facing policies and procedures that strengthen supervisory oversight and ensure operational alignment with the Company's compliance framework;
- Support the cultural transformation toward the use of approved electronic communications tools, driving awareness and regulatory compliance while minimizing exposure to regulatory scrutiny;
- Partner with key stakeholders to provide compliance support in furtherance of business objectives;
- Proactively identify and resolve compliance issues that may arise during daily activities
Benefits
- We provide a full package of benefits for employees - and have unique offerings for a modern workforce, including leave programs, adoption assistance, and student loan repayment programs.
- Based on feedback from our employees, we continue to refine and add benefits to our offering, so that you can flourish both inside and outside of work.
- Click here to discover more about our comprehensive benefit options or visit our NYL Benefits Site.
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What This Job Offers
Job Type
Full-time
Career Level
Entry Level
Industry
Insurance Carriers and Related Activities
Number of Employees
5,001-10,000 employees
