Corporate Compliance Associate - Testing & Monitoring

Location Designation: Hybrid - 3 days per week 

This position is hybrid - Tuesday - Thursday in the New York Office and Monday and Friday work from home.

Role Overview:

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.

What You'll Do:
• 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

What You'll Bring:
• 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;
• Preferred: FINRA Series 7, 63, and 24 licenses.  Opportunities to obtain required licenses may be available after hire.
This role requires FINRA Associated Person pre-hire fingerprinting

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Pay Transparency

Salary Range: $64,500-$90,000 

Overtime eligible: Exempt 

Discretionary bonus eligible: Yes 

Sales bonus eligible: No 

Actual base salary will be determined based on several factors but not limited to individual’s experience, skills, qualifications, and job location. Additionally, employees are eligible for an annual discretionary bonus. In addition to base salary, employees may also be eligible to participate in an incentive program.

Our 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.

Our Commitment to Inclusion
At New York Life, fostering an inclusive workplace is fundamental to who we are and how we serve our communities. We have a longstanding commitment to creating an environment where individuals can contribute their best and succeed together. This foundation is rooted in our core values of humanity and integrity, ensuring that every employee feels valued and supported. By embracing a broad range of perspectives and experiences, we achieve greater success and fulfill our promise of providing financial security and peace of mind to families across all communities. Click here to learn more about New York Life’s leadership in this space.​

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. To learn more about career opportunities at New York Life, please visit the Careers page of www.NewYorkLife.com.

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Job Requisition ID: 92863