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Job Details

Corporate Vice President Wealth Management Compliance and Risk Advisory

Company name
New York Life Insurance Company

Location
New York City, NY, United States

Employment Type
Full-Time

Industry
Clevel, Executive, Manager, Finance, Compliance, 100k

Posted on
Jan 08,2019

Valid Through
Apr 23,2019

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Profile

 

A career at New York Life offers many opportunities. To be part of a growing and successful business. To reach your full potential, whatever your specialty. Above all, to make a difference in the world by helping people achieve financial security. It's a career journey you can be proud of, and you'll find plenty of support along the way. Our development programs range from skill-building to management training, and we value our diverse and inclusive workplace where all voices can be heard. 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 service, supported by our Foundation. It all adds up to a rewarding career at a company where doing right by our customers is part of who we are, as a mutual company without outside shareholders. 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.

 

New York Life’s primary distribution channel is the career Agency sales force of more than 12,000 agents, operating in virtually every major city in the United States.  Every agent is affiliated with one of our 117 General Offices. These offices are operated by Agency management teams responsible for agent and management recruiting, development, and sales.  Approximately half our agents operate their businesses out of our General Offices, while the other half maintains independent office locations. 

 

Our General Offices are divided up among four Zones. In addition to our Zone offices, an Agency Home Office team responsible for strategy, finance, administration, standards, training, marketing and communications supports our agents and field managers.  The Agency operation also comprises teams charged with growing our business in key market segments, including the middle-income market, the advanced (high-net-worth) market, select cultural markets, and the women’s markets. Agents sell individual life insurance, individual annuities, and long-term care insurance products, as well as mutual funds.

 

Role Overview:

The Corporate Vice President, Compliance and Risk Advisory, will be responsible for advising the President/CEO of Eagle Strategies LLC, a Registered Investment Advisor, in the build out of a new and differentiated operating model in support of our top financial advisors.  The CVP will use deep understanding of the regulatory environment and practical knowledge of varied advisor practices to cultivate a strong compliance and supervisory framework, ensuring that the company, its advisors, and its team members are complying with regulatory requirements as well as internal policies and procedures. This specialized role will reside in the business unit but will be responsible for partnering with Corporate Compliance and Office of General Counsel to develop and determine the supervisory / enforcement protocols with respect to advisor practices. 

 

Responsibilities:

*Work with top advisor teams to review their overall approach to managing client portfolios, from due diligence and portfolio construction to implementation and monitoring – ensuring that processes are in place to manage risk in adherence with applicable securities laws and in compliance with internal policies and procedures *Conduct onsite reviews with advisors to examine appropriate client documentation is maintained and is consistent with clients’ stated investment objectives *Conduct ongoing account monitoring and periodic performance reviews to identify key risk indicators and follow-up as needed to ensure adherence to the guidelines of the program *Partner with Eagle Strategies management team and internal constituents to build and refine the overall strategy for an enhanced service offering for top advisors; specifically, this role will help shape the supervisory framework for advisor discretionary offerings *Serve as business area liaison to Corporate Compliance, Office of General Counsel, Agency Standards Consultants, and Risk when the management team is introducing new capabilities to advisors, including advanced trading tools, investment platform features, risk profiling software, and financial planning capabilities

Qualifications:

*Must have ability to build relationships across business units including Corporate Compliance, Office of General Counsel *Expert knowledge of applicable SEC and FINRA rules and regulations, including Investment Advisers Act of 1940, and fiduciary laws and ERISA *Previous interaction with SEC and other regulatory organizations *Deep understanding of advisor practices – particularly advisor discretionary offerings *Must have superior communication skills, particularly when dealing with senior management *Must have superior organizational management skills *7+ years of RIA work experience in risk/compliance in advisory financial services industry *BS/BA in Finance/Business Administration or relevant field required *Strongly preferred working experience with: Regulatory platforms (i.e. FINRA Gateway IARD/CRD), Custodial online interfaces (i.e. Fidelity/Wealthscape), Portfolio management systems *FINRA licenses preferred

SF:LI-LB1

EOE M/F/D/V

 

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Company info

New York Life Insurance Company
Website : http://www.newyorklife.com/

Company Profile
New York Life Insurance has been providing life insurance policies in the Big Apple since it was a tiny seed. While the top mutual life insurer in the US has branched out a bit, it retains its core business: life insurance and annuities. Its products include long-term care insurance and special group policies sold through AARP and other affinity groups and professional associations. New York Life Investments' offerings include mutual funds for individuals and investment management services for institutional investors. Through New York Life International, the firm provides life policies in overseas markets. Founded in 1841, New York Life is owned by its policyholders.

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