Investment Advisor Compliance Analyst


Date: Oct 21, 2021

Location: Jersey City, NJ, US

Company: New York Life Insurance Co


When you join New York Life, you’re joining a company that values development, career growth, collaboration, innovation, and diversity & inclusion. We want employees to feel proud about being part of a company that is committed to doing the right thing. Through various resources and programs, you can grow your career while developing personally and professionally.




Position:         Compliance Officer

Department:  Compliance

Location:        Jersey City, NJ


New York Life Insurance Company is seeking a Compliance Officer to provide support to New York Life Investment Management LLC (“NYLIM”) and IndexIQ Advisors LLC (“IndexIQ”). The position will report to the Senior Compliance Officer for NYLIM and IndexIQ and is located in Jersey City, NJ.


The Compliance Officer will assist with various aspects of the Advisers’ Compliance programs. The duties and responsibilities listed below are representative of the types of responsibilities the Compliance Officer 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 Compliance team.  The position will have regular interaction with senior management, compliance, legal, portfolio management and operations personnel.





  • Assist  in monitoring and maintaining the compliance programs of NYLIM and IndexIQ  to ensure compliance with applicable laws and regulations.
  • Prepare regulatory filings (e.g., Form ADV, Section 13 filings).
  • Research, compile and draft responses to Requests for Proposals (RFPs), internal audits, regulatory inquiries and examinations, and other special projects.
  • Assist with periodic and annual Rule 206(4)-7 compliance reviews and risk assessments of NYLIM, IndexIQ and New York Life Investments’ shared compliance policies and procedures.
  • Assist with compliance oversight of NYLIM’s Multi Asset Solutions (MAS) and Separately Managed Accounts (SMA) teams.
  • Assist in the preparation of compliance reports for senior management.
  • Research, evaluate and document compliance issues and work with internal personnel and service providers to investigate and resolve such issues.
  • Work with the Fund Compliance team on issues related to the MainStay and IndexIQ Funds as needed.
  • Stay current with regulatory and industry developments to help identify potential areas of vulnerability and risk and develop controls to mitigate these risks.
  • Provide guidance and support to functional business units and interact with personnel at all levels of New York Life’s various business units.
  • Special projects as required.


Qualifications and Experience


  • 5 plus years of Investment Adviser and Registered Fund compliance experience preferred.
  • Knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940, and other relevant regulations applicable to ETFs and mutual funds is desirable.
  • Detail-oriented, organized, highly proficient individual to work in a fast-paced, deadline driven environment, and able to solve complex problems in a collaborative manner.
  • Strong communications (both verbal and written) skills and analytical skills.
  • Ability to work independently and with others and meet critical deadlines.
  • Strong ethical commitment.
  • Proficient in Microsoft Word, Excel, PowerPoint, and Outlook.
  • Bachelor’s degree.
  • Limited travel may be 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 our Foundation. 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: 84266




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

Job Segment: Social Media, Investment, Pre-Sales, RFP, Marketing, Finance, Sales