Deputy Chief Compliance Officer, Corporate Vice President
Not Disclosed•Full-TimeHybrid
location_on4, East 64th Street, Lenox Hill, Manhattan Community Board 8, Manhattan, New York County, New York, 10065, United States
About the Role
This is a high-visibility leadership opportunity to serve as the Deputy Chief Compliance Officer for New York Life's retail securities subsidiaries: NYLIFE Securities LLC and Eagle Strategies LLC. Reporting directly to the Chief Compliance Officer, you will act as the second-in-command across the compliance program, entrusted with deputizing for the CCO before regulators and senior management.
You will lead the core elements of the compliance program, including risk assessments, policy design, and controls testing. A key part of your mission is modernizing how compliance is delivered across one of the largest career agency distribution systems in the industry, supporting over 12,000 insurance agents and thousands of registered representatives. This role is designed for a senior compliance professional ready to direct day-to-day program execution while shaping a multi-year strategic agenda for regulatory risk mitigation and building the next generation of compliance at New York Life.
About the Team
The Corporate Compliance Department serves as a strategic second-line-of-defense partner to the businesses we cover. NYLIFE Securities and Eagle Strategies sit at the heart of New York Life's retail distribution strategy, delivering a broad product platform through a nationwide career agency system.
We operate at the leading edge of compliance, with active investments in supervisory technology, surveillance analytics, and AI-enabled monitoring. We are a tight, collaborative team of senior practitioners who engage daily with the most consequential regulatory questions. We partner directly with Field Supervision, Suitability, Legal, Risk, and Service/Operations teams to deliver a unified compliance program that spans the home office and the field.
Company Culture & Mission
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. Our diverse business portfolio creates opportunities to make a difference across industries and communities, inviting bold thinking and purpose-driven innovation.
As a Fortune 100 mutual company, we offer a place to grow your skills and contribute to meaningful work. Here, you will find the rare balance of long-standing stability and forward momentum, supported by an inclusive team that honors tradition while embracing progress. We are committed to improving local communities through a culture of employee giving and volunteerism, and we operate in the best interests of our policy owners.
Our Commitment to Inclusion
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.
Application Instructions
To learn more about career opportunities at New York Life, please visit the Careers page of www.NewYorkLife.com. For more information about our leadership in inclusion, visit our dedicated page on the company website.
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Skills, education and keywords
Skills: Series 7, Series 24, Series 65, Series 66, Finra Rule 3120, Rule 206(4)-7, Code Of Ethics, Written Supervisory Procedures, Aml, Reg Bi.
Education: Bachelor's degree preferred.
Frequently asked questions about Deputy Chief Compliance Officer, Corporate Vice President at New York Life
What does a Deputy Chief Compliance Officer, Corporate Vice President at New York Life do?expand_more
Day-to-day, the Deputy Chief Compliance Officer, Corporate Vice President at New York Life will deputize for the chief compliance officer before regulators, senior management, and external counsel; serve as the designated aml compliance officer for nylife securities and eagle strategies; oversee execution of foundational compliance activities including finra rule 3120 and rule 206(4)-7 annual reviews; and create and direct a dynamic compliance risk assessment framework with inherent and residual risk scoring.
What are the requirements for this Deputy Chief Compliance Officer, Corporate Vice President role?expand_more
New York Life is looking for candidates who meet the following requirements: 10+ years of progressive compliance experience at a retail broker-dealer and SEC-registered investment adviser; Series 7, 24, and 65/65 (or equivalent) required; Bachelor's degree preferred; and JD is a plus.
Where is the Deputy Chief Compliance Officer, Corporate Vice President role at New York Life located?expand_more
Deputy Chief Compliance Officer, Corporate Vice President at New York Life is based in 4, East 64th Street, Lenox Hill, Manhattan Community Board 8, Manhattan, New York County, New York, 10065, United States. This is a hybrid role.