Corporate Vice President, Compliance - Sales Marketing Review - Mutual Funds


Date: Oct 15, 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.




Corporate Vice President, Compliance Sales Marketing Review Analyst –


This role is dedicated to servicing the diverse investment capabilities of the marketing compliance review needs of New York Life Investments (NYLIM), which range from traditional equity and fixed income to alternative investment strategies, and multi-asset solutions. NYLIM is an indirect, wholly owned subsidiary of New York Life Insurance Company, and a top 25 global Asset Management Firm serving a variety of client segments including retail and institutional.


Job Description and Responsibilities:


  • Conduct complete and timely compliance reviews of marketing materials, retail and institutional, to ensure compliance with applicable FINRA rules related to communications with the public (specifically rule 2210), SEC Rules, as well as applicable Company policies and procedures.
  • Provide guidance to authors of advertising and sales material about applicable regulatory standards, company policies and procedures and the general regulatory environment
  • Educate and update business partners on specific changes within the industry and applicable regulations affecting advertising material and the approval process.

  • Bachelor’s Degree.
  • Series 7 and 24 FINRA licenses.
  • 5 to10 years of experience in compliance advertising review.
  •  Technical knowledge of the following:
    • Mutual Funds
    • FINRA Communications and Disclosure Rules
    • Social Media  Advertising Requirements
    • Strong working knowledge of securities laws, rules, and regulations relating to retail and institutional communications.
    • Some knowledge of SEC Investment Adviser Advertising Rules preferred, but not required.
  • Ability to process all material assigned for review and approval in a timely manner.
  • Must possess excellent written and verbal communications skills.
  • Must be able to prioritize and make good judgments, including when to escalate matters to management.
  • Must be highly organized in order to process a high volume of documents daily.
  • Must be able to work effectively under pressure and tight deadlines.
  • Must have excellent computer skills, proficient in PowerPoint, Adobe, and Snagit.
  • Must be proactive, professional customer service oriented.




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: 83356




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

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