Associate, Corporate Compliance

Location Designation:Hybrid - 3 days per week

Corporate Compliance partners with diverse business units to develop and implement robust compliance programs, fostering integrity and minimizing risk. Collaborate with a dedicated team to craft practical policies, train employees, and ensure the company's actions align with core principles and external regulations. Your work helps to safeguard the company's reputation, empower responsible decision-making, and pave the way for sustainable growth.

Eagle Strategies LLC is the Registered Investment Adviser within New York Life's Wealth Management Services division. As part of New York Life's Wealth Management Compliance team, you will be responsible for supporting the Wealth Management Compliance Manager with the implementation and monitoring of Eagle's compliance policies and programs.

What You'll Do:
* Assist in the management of the annual client review attestation process to ensure Eagle's 1600+ advisors are in compliance with program guidelines, including:
o Monitoring for timeliness of annual review completion
o Providing training and support to advisors on system navigation and form completion
o Completing supervisory reviews to document advisor outreach attempts to their clients
o Providing reporting and analysis to identify risks and issues that may arise during the course of daily monitoring
* Assist in the management of the Form ADV 2B update process to ensure advisors are in compliance with SEC requirements
* Support Wealth Management Compliance projects and initiatives as needed
* Proactively identify and resolve compliance issues that may arise during daily activities

What You'll Bring:
* Bachelor's Degree
* Collaborative mindset and effective communicator (written and verbal)
* Ability to work in Microsoft Teams and Zoom for collaborations
* Independent and self-directed professional
* Intellectual rigor and curiosity
* Business or compliance experience with a broker-dealer, registered investment adviser, or financial services company or related experience preferred
* Intermediate Excel skills (Lookups, Pivot Tables, etc.)
* Microsoft Office proficient
* FINRA Series 7 and Series 65 or 66 preferred
This role requires FINRA Associated Person pre-hire fingerprinting and investment accounts must be held with Eagle-approved brokerage firms.

#LI-VL1
#LI-HYBRID

Pay Transparency

Salary Range:$70,000-$90,000

Overtime eligible:Exempt

Discretionary bonus eligible:Yes

Sales bonus eligible:No

Actual base salary will be determined based on several factors but not limited to individual's experience, skills, qualifications, and job location. Additionally, employees are eligible for an annual discretionary bonus. In addition to base salary, employees may also be eligible to participate in an incentive program.

Our Benefits

We provide a full package of benefits for employees - and have unique offerings for a modern workforce, including leave programs, adoption assistance, and student loan repayment programs. Based on feedback from our employees, we continue to refine and add benefits to our offering, so that you can flourish both inside and outside of work. Click here to discover more about our comprehensive benefit options or visit our NYL Benefits Site.

Our Commitment to Inclusion
At New York Life, fostering an inclusive workplace is fundamental to who we are and how we serve our communities. We have a longstanding commitment to creating an environment where individuals can contribute their best and succeed together. This foundation is rooted in our core values of humanity and integrity, ensuring that every employee feels valued and supported. By embracing a broad range of perspectives and experiences, we achieve greater success and fulfill our promise of providing financial security and peace of mind to families across all communities. Click here to learn more about New York Life's leadership in this space.

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 theFoundation.We're proud that due to our mutuality, we operate in the best interests of our policy owners. To learn more about career opportunities at New York Life, please visit the Careers page of www.NewYorkLife.com.

Visit our LinkedIn to see how our employees and agents are leading the industry and impacting communities.

Visit our Newsroom to learn more about how our company is constantly evolving to meet our clients' and employees' needs.

Job Requisition ID: 92480