Operations, Sr. Associate (Eagle Strategies)

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Date: Jun 8, 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.

 

 


As a member of New York Life's Wealth Management division, Eagle Strategies LLC, the Senior Associate will work closely with both internal and external business partners. The Senior Associate will be charged with providing operational support and a superior service experience to Eagle Investment Advisor Representatives (IARs). This position is responsible for accurately processing and recording the securities licensing and system entitlements for Eagle IAR's.  Additional broad level exposure will allow the individual to quickly learn other aspects of the managed account business.

 

 Responsibilities
• Closely collaborate with the Regulatory Support and Oversight (RSO) division of Eagle Strategies on all new IAR candidate affiliations. This entails coordinating with the IAR candidate to complete and submit the required securities holdings disclosure documentation for Standards review and approval which is required to affiliate with Eagle Strategies.
• Opening exam windows, state registration filing and various licensing matters.
• Primary field contact for all General Offices on Eagle Strategies qualifications. This individual partners with the General Office administration staff to submit the required affiliation and licensing documents on the IAR candidate's behalf. This individual will also work closely with the General Office Managing Partner to obtain field management approval which is also required to affiliate with Eagle Strategies.  In cases where the IAR candidate does not meet all affiliation requirements, this individual will review the candidate's application and determine whether an exception is warranted and, if so, obtain the appropriate approvals from the Eagle Strategies management team.
• Responsible for calculating the registration fees necessary to affiliate with Eagle Strategies depending on specific state requirements. This individual will reconcile payments made by the GO on behalf of the IAR candidate for Eagle Strategies registration and resolve any discrepancies directly with the GO administrative staff before approving the candidate. Once approved, this individual will determine the permitted activities the IAR may engage in based on the IAR's licensing, professional designations and industry experience.
• Review and monitor all IARs to ensure ongoing qualifications are met to maintain affiliation with Eagle Strategies. This individual will review and identify IAR's who do not maintain these ongoing qualifications and take action to suspend their activity as required by Eagle Strategies policies and procedures.
• Maintain and ensure adherence to posted policies and procedures.
• Additional responsibilities at the request of Wealth Management leadership.

 

Qualifications
• Bachelor Degree preferred
• Minimum of 3-5 years relevant experience
• Excellent skills in MS Word, Excel, PowerPoint, Lotus Notes, MS Project a plus
• Excellent written and verbal communication skills
• Strong interpersonal skills and the ability to exercise informal influence
• Ability to handle multiple priorities simultaneously
• High level of professionalism
• Professional writing skills
• Understanding of operational principals around accuracy, efficiency and speed
• Working knowledge of spreadsheets, databases and CRM systems. (eBoss, Envestnet etc.)
• Working knowledge of investment advisory industry and FINRA and State securities license requirements

 

Problem Solving: Ability to identify operational challenges and independently formulate possible solutions when appropriate. As technology improves, the need to refine and implement new technologies is critical to improve efficiencies. This individual will be required to identify opportunities and execute plans for process improvement.

 

Decision Making/ Nature of Impact: Constantly seeks opportunities to improve existing processes in an effort to build a scalable and impactful service model.

 

Communication Requirements: Ability to communicate clearly to Eagle IARs, field management and other internal and external business partners.  This individual will be responsible for communicating directly with Eagle IAR's, their GO administrative staff and Managing Partners.

 

 

 

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: 86206

 

 

 


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