Corporate Compliance Associate - Testing & Monitoring

Apogem Capital is part of New York Life, a Fortune 100 mutual company with a long-standing legacy. The Corporate Compliance Associate will contribute to compliance oversight and governance, ensuring adherence to regulatory requirements and supporting the development of policies and procedures within the organization.

Responsibilities

• 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

Skills

• 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
• Strong overall proficiency in Microsoft Office applications
• This role requires FINRA Associated Person pre-hire fingerprinting
• Prior experience in business or compliance functions within a broker-dealer, registered investment adviser, financial services organization, or related industry preferred
• Preferred: FINRA Series 7, 63, and 24 licenses. Opportunities to obtain required licenses may be available after hire

Benefits

• Leave programs
• Adoption assistance
• Student loan repayment programs

Company Overview