CVP, Investment Advisor Service & Operations Manager


Date: Aug 2, 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.



Role Overview

We are looking for a dynamic leader to oversee a newly created escalation unit within our Registered Investment Advisor, Eagle Strategies.  The role will provide flexibility to work a hybrid schedule, working remote on Mondays and Fridays!

The leader will manage the escalation unit which will be responsible for providing dedicated support to the newly created Advanced Service Model, Operational support of the new workflows for the Advanced service model is creating, streamlining of all escalations to enhance the response and subsequent change management to eliminate.  Finally, the role will support the operational functions the new 'block trading' will require. Block trading will require strong principal oversight of this activity to reduce risk of potential market exposure.  Unit will be charged with handling multiple complex and high-risk time sensitive issues simultaneously. This individual will be accountable and responsible for ensuring a tight control environment through establishing policy and procedures of these high-risk items.


  • Manage a staff of 4 Registered principles and ensuring timely same day principal review. 
  • Hold outside departments responsible for their role in escalated items, providing management reporting on statuses and action items to eliminate. 
  • Monitor and meet real-time queue standards for all new account information. 
  • Support all operational features required for Block Trading including, reconciliation of errors accounts, supervisory controls and trade management Operations and Service management team to support those efforts, goals and SLAs.
  • Handle key time sensitive, complex, market risk exposure related items in need of problem resolution.
  • Establish and maintain policy procedures, metrics reporting.
  • Trending and statistical analysis to identify improvement opportunities with the process.
  • Perform peer benchmarking of both RIA and BD supervisory policies. Create business cases for any amendments, create consensus with Compliance, Counsel and Senior Management and implement.
  • Manage relationships with various outside vendors & partners to direct resources for problem resolutions (Envestnet, NFS).
  • Work closely with Eagle Operations management and Eagle Senior Management to determine the viability of solutions for exceptional cases. Collate use cases and support for policies.
  • Assist Senior Management with special projects as necessary.



  • Bachelor’s Degree
  • Series 7 & 24 required
  • Minimum of 8-10 years of relevant experience
  • Understanding of Trading, metrics and service standards
  • Coaching/mentorship background a plus
  • Knowledge of Registered Advisor products, Wealthscape, Envestnet and Salesforce
  • Understanding of the Envestnet block trading platform
  • Complete understanding of the processes throughout New York Life that impact the Advisor experience 
  • Understanding of all Eagle processes
  • Understanding the sales process and rules governing the transfer of information


The Business unit that you will be joining:

Eagle Strategies LLC is a Registered Investment Adviser and wholly owned subsidiary of New York Life Insurance Company. As part of New York Life’s Wealth Management division, Eagle Strategies has a long history and passion for career development, innovation, collaboration, and diversity, equity and 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.


Eagle Strategies provides retail investment advisory services through about 1,250 affiliated investment advisor representatives (IARs) and more than $20B in assets under management (AUM). Eagle IARs provide comprehensive investment advisory and financial planning capabilities. Through our "protection first" planning philosophy and backed by solutions that leverage New York Life’s financial strength and mutuality, our advisors can tailor a plan to help their clients reach their long-term goals and withstand unforeseen fluctuations through insurance, annuities, brokerage (including stocks, bonds, mutual funds, and specialty asset classes), and other products.


We believe the best financial solutions are built when an advisor has a thorough understanding of their clients’ current financial picture and their short- and long-term goals. Our advisors assess their clients’ needs and identify appropriate solutions that put their clients on a path toward achieving their financial dreams and aspirations over the client's lifetime – from wealth-building to retirement to legacy.


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: 86055




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

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