Associate, Regulatory Support & Oversight

APPLY NOW »

Date: Jul 24, 2022

Location: New York, NY, US

Company: New York Life Insurance Co

 

 

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.

 

Eagle Strategies LLC is the Registered Investment Adviser within New York Life's Wealth Management division. Eagle's Regulatory Support & Oversight team is responsible for implementing Eagle's Compliance Program. 

 

This is a hybrid role with Monday and Friday as the designated work from home days and Tuesday, Wednesday & Thursday in the office

 

This role will primarily support Code of Ethics monitoring (under the Adviser's Act of 1940) and provide support to additional ad hoc team projects or initiatives.  

 

Major Responsibilities:

 

  • Support Eagle's Personal Securities Trade monitoring and legal disclosures policies
  • Manage annual attestation and certifications processes
  • Proactively identifying and resolving regulatory risks and issues that may arise during monitoring daily activities
  • Providing support and training to field relating to these areas of responsibility.
  • Supporting RSO manager with internal and external reporting
  • Supporting regulatory projects and initiatives as needed.
     

Qualifications:

  • Bachelor's Degree
  • Series 6 or 7 desirable
  • Analytical thinker who can provide practical and commercially minded solutions to mitigate risk.
  • Collaborative mindset and effective communicator.
  • Intellectual rigor and curiosity.
  • Independent and self-directed professional.
  • Business or compliance experience with a broker-dealer, registered investment adviser, or financial services company or related experience preferred.
  • Microsoft Office proficient

 

This role requires FINRA Associated Person pre-hire fingerprinting, preclearance of personal trades, and investment accounts must be held with Eagle-approved brokerage firms.

 

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 www.NewYorkLife.com.

Job Requisition ID: 86722

 

 

 


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

Job Segment: Social Media, Marketing