Date: Jan 20, 2023

Location: Jersey City, NJ, US

Company: New York Life Insurance Co

Location Designation: Hybrid 



When you join New York Life, you’re joining a company that values career development, collaboration, innovation, and inclusiveness. We want employees to feel proud about being part of a company that is committed to doing the right thing. You’ll have the opportunity to grow your career while developing personally and professionally through various resources and programs. New York Life is a relationship-based company and appreciates how both virtual and in-person interactions support our culture.



New York Life Insurance Company is seeking a Compliance Officer to support the MainStay Funds and IndexIQ ETFs (collectively “Funds”).  This position is located in Jersey City, NJ and reports directly to the Chief Compliance Officer, MainStay Funds / IndexIQ. 


The Compliance Officer will be responsible for various aspects of the Funds’ Compliance programs.   The duties and responsibilities listed below are representative of the types of responsibilities the employee may handle, but are not intended to be an exclusive list. New York Life is looking for a proactive team player to be an engaged member of the registered funds compliance group.     


General Requirements:


  • Responsible for the board reporting, including follow-up with key stakeholders and drafting of quarterly board reports.
  • Draft and review board memorandum and reports.
  • Manage the administration, review, and testing of policies and procedures for the Funds.
  • Develop annual risk assessments and update the conflicts of interest matrix.
  • Build and develop relationships with multiple business units including: sub-advisers, service providers, legal, product, operations, accounting, audit, risk, and other key stakeholders.
  • Assist in research, document review, and special projects.
  • Assist in researching, compiling, and drafting responses to regulatory inquiries and examinations, as necessary.
  • Assist in the management of the unit's filing system.
  • Prepare documents, charts, tables, graphs, and reports.
  • Participate in compliance department staff and other related project meetings.
  • Special projects as required.


Qualifications and Experience:


  • Prior experience with registered funds such as open-end, closed-end, and interval funds; exchange traded funds (ETFs); and business development companies (BDCs) – preferred.
  • Knowledge of the federal securities laws and a basic understanding of financial markets and products that trade in those markets – preferred.
  • Prior legal, regulatory, compliance, risk, and/or audit/accounting experience – preferred.
  • Bachelor's degree.


Knowledge, Skills, and Abilities:


  • High level of integrity, ethical commitment, and professionalism.
  • Ability to establish priorities, work independently and collaboratively with others, and proceed with objectives with limited supervision.
  • Ability to handle and resolve recurring problems, to meet critical deadlines, and to balance multiple demands, shifting priorities, and rapid change.
  • Ability to tailor compliance solutions to business conditions.
  • Decisive and mature, with the ability to drive consensus.
  • Excellent interpersonal communication and writing skills.
  • Exhibits initiative, dependability, and motivation.
  • Excellent organizational skills.
  • Proficient in computer use and various software packages – Microsoft Word, Excel, PowerPoint, and Outlook. 
  • Familiarity with one or more of the following systems:  Diligent, DST/SS&C, ALPS, and/or BoardVantage.

SF: LI - LS1




Salary range: $115,000-$175,000 

Overtime eligible: Exempt 

Discretionary bonus eligible: Yes 

Sales bonus eligible: No 


Click here to learn more about our benefits. Starting salary is dependent upon several factors including previous work experience, specific industry experience, and/or skills required.



Recognized as one of Fortune’s World’s Most Admired Companies, New York Life is committed to improving local communities through a culture of employee giving and volunteerism, supported by the Foundation. We're proud that due to our mutuality, we operate in the best interests of our policy owners. We invite you to bring your talents to New York Life, so we can continue to help families and businesses “Be Good At Life.” To learn more, please visit LinkedIn, our Newsroom and the Careers page of

Job Requisition ID: 88496




Nearest Major Market: New York City
Nearest Secondary Market: Newark

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