Corporate Vice President Compliance Officer

Profile

Corporate Vice President, Compliance Officer

The candidate will assist in developing, monitoring, and maintaining effective compliance policies and procedures in accordance with applicable laws and regulations. Assess and test the Firm’s compliance with various policies and procedures including, without limitation, Anti-Money Laundering, Personal Political Contributions, Personal Trading, Outside Business Activities, and Gifts and Entertainment. Assist in coordinating and preparing reporting packages for Compliance, Brokerage, and other Committee meetings. Assist in the preparation of regulatory filings (e.g., For ADV, Form PF, Section 13 filings, Form D). Assist in coordinating responses to internal audits, SOC-1 audits, and other audits and exams. Assist with surveillance of trading activity and reviewing electronic communications. Keep abreast of changes in applicable domestic and foreign regulations and assist in implementing appropriate changes to compliance practices and policies. Interact with personnel at all levels of the Firm’s various business units (Investment Teams, Operations, Client Services, Finance, etc.) to satisfy day-to-day assignments as well as ad-hoc projects. Special projects as required.

Additional Information

Requisition ID: 87228.

Company info

New York Life Insurance Company
11835 Queens Boulevard
New York
New York
United States 11375-7200
Website : http://www.newyorklife.com/