Senior Associate, Wealth Management Regulatory Support & Oversight

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Date: Jul 31, 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


The role will primarily support the RSO manager in the maintenance of standard operating procedures, compliance training, and monitoring processes.
 

Major Responsibilities: 

  • Maintain procedure manuals, including periodic reviews with SMEs
  • Assist in maintenance of annual compliance training and monitoring completion
  • Monitoring compliance with Eagle's investment and other policies by advisers and staff relating to advisory programs and services
  • Social media surveillance 
  • Provide data and analysis relating to monitoring conducted in support of Eagle's 206(4)-7 reporting
  • Support Eagle's SEC Rules 13 D/F/G/H reporting
  • Support the planning, testing and implementation phases of compliance software upgrades
  • Assist with drafting of internal and external facing communications
  • Assist with disciplinary process referrals
  • Proactively identify and resolve compliance issues that may arise during daily activities
  • Manage annual ADV Part 2 and other regulatory mailings
  • 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: 86727

 

 

 


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

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