Corporate Compliance Associate – Testing & Monitoring

Location Designation:
Hybrid – 3 days per week. This position is hybrid – Tuesday – Thursday in the New York Office and Monday and Friday work from home.

As a member of the Testing and Monitoring Unit within New York Life’s Corporate Compliance Department, you will contribute to the compliance oversight, corporate governance, examination readiness, and policy development for the Company’s Foundational Business product lines to ensure compliance with FINRA Rules 3120/3130, SEC Rules 38a-1 and 206(4)-7, and the NAIC Suitability in Annuity Transactions Model Regulation 275. The ideal candidate will be able to evaluate and implement risk-based frameworks that align with evolving regulatory expectations.

• Execute compliance testing programs, ensuring robust supervisory controls and adherence to regulatory requirements;
• Contribute to the timely preparation of annual Board reports for NYLIFE Securities LLC (affiliated broker‑dealer) and Eagle Strategies LLC (affiliated registered investment adviser) as well as the annual NAIC Model Regulation report – highlighting key compliance testing results, identified risks, and remediation efforts;
• Assist in the development, maintenance, and enhancement of field‑facing policies and procedures that strengthen supervisory oversight and ensure operational alignment with the Company’s compliance framework;
• Support the cultural transformation toward the use of approved electronic communications tools, driving awareness and regulatory compliance while minimizing exposure to regulatory scrutiny;
• Partner with key stakeholders to provide compliance support in furtherance of business objectives;
• Proactively identify and resolve compliance issues that may arise during daily activities

• Bachelor’s degree required;
• Strong written and verbal communication skills with the ability to collaborate effectively across teams;
• Strong analytical and problem‑solving skills with the ability to interpret complex data and identify actionable insights;
• Proficient in virtual collaboration platforms, including Microsoft Teams and Zoom;
• Skilled in leveraging artificial intelligence tools (e.g., ChatGPT, Microsoft Co‑Pilot) to enhance productivity and analytical work;
• Self‑motivated with the ability to work independently and manage multiple priorities in a dynamic environment;
• Demonstrates intellectual curiosity, critical thinking, and sound judgment;
• Prior experience in business or compliance functions within a broker‑dealer, registered investment adviser, financial services organization, or related industry preferred;
• Strong overall proficiency in Microsoft Office applications;
• Preferred: FINRA Series 7, 63, and 24 licenses. Opportunities to obtain required licenses may be available after hire.

This role requires FINRA Associated Person pre‑hire fingerprinting #LI-VL1

Salary Range: $64,500–$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.

At New York Life, our 180‑year legacy of purpose and integrity fuels our future. As we evolve into a more technology‑, data‑, and AI‑enabled organization, we remain grounded in the values that drive lasting impact.

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.

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.

New York Life