Senior Associate - Regulatory Support & Oversight

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Date: Jun 23, 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.

 

 

 

We are looking for new talent with expertise in regulatory compliance and risk management to join a dynamic team within a retail Registered Investment Advisory Firm to perform First Line of Defense activities.  You will play an important role in helping to ensure that regulatory and operational requirements and risks are understood, owned, and managed to the firm's risk appetite.  The primary responsibilities for this job include:

 

  • Act as compliance and operational risk control subject matter expert, supporting the Field, Home Office, and the Enterprise in managing the risks of the Registered Investment Adviser.
  • Support maintenance of a current legal and regulatory risk framework and policies, procedures, program documents and disclosures which are in line with the applicable framework.
  • Support development of an operational and regulatory risk assessment program in collaboration with other first and second line of defense functions.
  • Collect and organize data and analysis for senior leaders. Support maintenance of a dashboard highlighting controls, tools, framework, information and insights necessary to manage risk for the business unit.
  • Support ad hoc projects and initiatives as needed.

Qualifications:

  • Bachelor's degree
  • 3-5 years total relevant experience
  • Experience with the Investment Advisers Act of 1940, Investment Company Act of 1940, related SEC rules, and the evolving regulatory environment. Familiarity with FINRA rules not required but would be beneficial 
  • Experience with regulatory risks and controls management.
  • Data analytics and visualization
  • Analytical thinker who can provide practical and commercially minded solutions to mitigate risk.
  • Intellectual rigor and curiosity.
  • Effective Communicator 
  • Independent and self-directed professional.
  • Minimum of 2 years of business or compliance experience with a broker-dealer, registered investment adviser, or financial services company.
  • Microsoft Office proficient

SF:LI-KV1

 

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: 85413

 

 

 


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Nearest Secondary Market: New York City

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