Corporate Vice President, Senior Compliance Officer, ETFs and Mutual Funds
Company: New York Life Insurance Company
Location: Jersey City
Posted on: April 2, 2021
Corporate Vice President, Senior Compliance Officer, ETFs and
Mutual Funds Date: Jan 21, 2021 Location: New York, NY, US Company:
New York Life Insurance Co 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 Insurance Company is seeking a Senior Compliance Officer
to provide support to the MainStay mutual funds and IndexIQ ETFs .
The position will report directly to the Chief Compliance Officer
of the funds, and is located in Jersey City, NJ or New York, NY.
The Senior Compliance Officer will be responsible for various
aspects of the funds' Compliance programs. The duties and
responsibilities listed below are representative of the types of
responsibilities the Senior Compliance Officer may handle but are
not intended to be an exclusive list. New York Life is looking for
a proactive team player to be an engaged member of the Compliance
team. The position will have regular interaction with the Board of
Trustees; senior management; service providers and subadvisers;
regulators; and compliance, legal, portfolio management and
operations personnel. -- Responsibilities
- Assist in monitoring and maintaining the compliance programs of
the MainStay mutual funds and IndexIQ ETFs to ensure compliance
with applicable laws and regulations.
- Develop, implement, train and enforce effective current and new
compliance policies and procedures in accordance with applicable
laws and regulations.
- Manage, coordinate, and conduct periodic and annual reviews and
risk assessments of aspects of the funds' compliance program, which
may include the funds' Rule 38a-1 policies, due diligence and trade
- Prepare compliance reports for the Board of Trustees of the
funds and senior management.
- Research, compile and draft responses to internal audits,
regulatory inquiries and examinations, and other special
- Assist with formulating, communicating and leading a strategic
vision for the funds' compliance program.
- Stay current with regulatory and industry developments to help
i dentify potential areas of vulnerability and risk and develop
controls to mitigate these risks.
- Provide guidance and support to functional business units and i
nteract with personnel at all levels of New York Life's various
- Special projects as required.
Qualifications and Experience
- A minimum of 5 years of Registered Fund compliance experience
(including experience related to ETFs).
- Demonstrable knowledge of U.S. securities laws, particularly
the Investment Company Act of 1940, the Investment Advisors Act of
1940, the Securities Act of 1933, the Securities Exchange Act of
1934 and other SEC, CFTC & FINRA regulations.
- Experience with order management systems and custodial systems
as it relates to monitoring of client accounts and the set-up of
new rules, accounts and securities.
- Experience in managing regulatory dialogues, coordinating
regulatory examinations, and responding to regulatory
- Travel may be required.
Characteristics and Attributes
- High level of integrity, ethical commitment and
- Superior judgment in identifying and assessing potential
compliance matters, the application of industry developments to the
business and knowing when to seek advice and when to act
- Ability to work independently as well as with others to meet
critical deadlines, balance multiple demands, shifting priorities
and rapid change.
- Strong leadership and relationship influencing ability.
- Decisive and mature, with the ability to drive consensus.
- Ability to tailor Compliance solutions to business
- Detail-oriented, organized, highly proficient individual to
work in a fast-paced, deadline driven environment, and able to
solve complex problems in a collaborative manner.
- Strong communications skills (verbal and written) and
- Proficient in Microsoft Word, Excel, PowerPoint, and Outlook.
SF:LI-ID1 Please note: During calendar year 2021, employees of
Group Benefit Solutions can be considered for open positions within
Group Benefit Solutions only. Applications from Group Benefit
Solutions employees for open positions within other New York Life
businesses are unable to be considered. EOE M/F/D/V If you have
difficulty using or interacting with any portions of this Web site
due to incompatibility with an Assistive Technology, if you need
the information in an alternative format, or if you have
suggestions on how we can make this site more accessible, please
contact us at: (212) 576-5811. Job Requisition ID:--83187--
Keywords: New York Life Insurance Company, Jersey City , Corporate Vice President, Senior Compliance Officer, ETFs and Mutual Funds, Executive , Jersey City, New Jersey
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