Job description

Location Designation: Hybrid - 3 days per week Role Overview: 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, an introducing broker-dealer, and Eagle Strategies LLC, an SEC-registered investment adviser. Reporting directly to the Chief Compliance Officer of NYLIFE Securities LLC and Eagle Strategies, the Deputy CCO will be entrusted as the CCO’s second-in-command across the compliance program. The Deputy CCO will lead the core elements of the compliance program, including compliance risk assessments, policy and procedure design, controls testing, supervisory oversight coordination, and the modernization of how compliance is delivered across one of the largest career agency distribution systems in the industry, with over 12,000 insurance agents, 6,500 registered representatives, and 1,700 investment adviser representatives. The successful candidate will be a credible, hands-on leader who can simultaneously direct day-to-day program execution and shape the multi-year strategic agenda for regulatory risk mitigation. This role is designed for a senior compliance professional ready to step into CCO-adjacent responsibilities, deputize for the CCO before regulators and senior management, and help build the next generation of compliance at New York Life. Who We Are: The Corporate Compliance Department at New York Life 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 that includes variable annuities and variable life insurance, mutual funds, alternative investments, 529 plans, managed account programs through our advisory platform, and comprehensive fee-based financial planning—through a nationwide career agency distribution system. We operate at the leading edge of compliance, with active investments in supervisory technology, surveillance analytics, data and AI-enabled monitoring, and an integrated control environment that spans home office and field. We are a tight, collaborative team of senior practitioners who engage daily with the most consequential regulatory and supervisory questions, and we partner directly with Field Supervision, Suitability, Legal, Risk, Service/Operations teams, and other stakeholders to deliver a unified compliance program. What You’ll Do: • Deputize for the CCO. Serve as the CCO’s principal deputy across NYLIFE Securities and Eagle Strategies—covering for the CCO before regulators, senior management, and external counsel; carrying delegated authority across the compliance program; and helping set strategic direction for a modern and scalable compliance program. Serve as the designated AML compliance officer for NYLIFE Securities and Eagle Strategies. • Own the core compliance program. Oversee execution of the foundational compliance activities and reviews that anchor the program, including the anti-money laundering program, FINRA Rule 3120 annual report, the Rule 206(4)-7 annual review for Eagle Strategies, the Code of Ethics, and the firm-wide written supervisory procedures (WSPs). • Create and direct a dynamic compliance risk assessment program. Create a compliance risk assessment framework for both entities—including inherent and residual risk scoring, regulatory mapping, control rationalization, and entity-specific versus shared risk categorization—and translate findings into targeted testing, monitoring, and remediation plans. • Drive policy, procedure, and control review. Lead the periodic refresh and harmonization of compliance policies, supervisory procedures, and the broader control inventory across the business and the three lines of defense; ensure alignment with FINRA, SEC, MSRB, and state regulatory expectations as well as evolving industry practice. • Coordinate with Field Supervision and Suitability. Partner closely with our Field Supervision leadership and the firm’s Suitability organization on compliance oversight of the field force, supervisory escalations, branch inspection design, Reg BI and fiduciary suitability execution, and the supervisory framework supporting our largest producers and complex client situations. • Lead the compliance modernization portfolio. Sponsor and coordinate a portfolio of compliance modernization initiatives—covering surveillance technology, AI-enabled monitoring, e-communications review, advertising and marketing review, control automation, and books and records, prioritized through a strategic regulatory risk mitigation lens. • Engage regulators and auditors. Serve as a subject matter expert for FINRA cycle exams, SEC examinations, state securities/insurance regulator inquiries. Coordinate with the head of the Regulatory Review Unit on exam readiness, response coordination, and remediation tracking. • Advise the business on novel issues. Provide senior compliance guidance on new product introductions, distribution platform changes, field technology modernization, AI governance, and the firm’s response to new and emerging regulatory developments. • Develop the team. Lead, mentor, and develop a high-performing compliance team focused on policies and procedures oversight, testing and monitoring, and field review; build bench strength across compliance subject-matter areas; and sustain a culture of integrity, intellectual rigor, and continuous improvement. What You’ll Bring: • 10+ years of progressive compliance experience at a retail broker-dealer and SEC-registered investment adviser, with prior service as a CCO, Deputy CCO, or other senior compliance leader strongly preferred. • Demonstrated experience supporting a large field distribution system (career agency, independent broker-dealer, wirehouse, or insurance-affiliated platform) with a deep working understanding of branch supervision, registered representative/IAR oversight, and field-home office partnership dynamics. • Substantive product knowledge across the retail wealth platform, including variable annuities and variable life insurance, mutual funds, alternative investments, 529 plans, managed account and advisory programs, and fee-based financial planning. • Working command of the relevant regulatory frameworks: FINRA rules, SEC Regulation Best Interest, the Investment Advisers Act of 1940, the Securities Exchange Act of 1934, and applicable state securities regulation. • Series 7, 24, and 65/66 (or equivalent) required • Bachelor’s degree preferred; JD is a plus. • Track record of leading compliance modernization, technology-enabled supervision, or AI/analytics-driven monitoring programs, with the strategic judgment to sequence and prioritize change in a complex regulated environment. • Demonstrated ability to engage credibly with regulators, senior business leaders, and to communicate complex regulatory issues with clarity, conviction, and commercial awareness. • Proven leadership and people-development skills, with experience building and leading compliance teams and influencing across the three lines of defense. • Exemplary integrity and ethical judgment, sound risk instincts, and a strong drive for continuous learning and professional growth. Pay Transparency Salary Range: $160,000-$250,000 Overtime eligible: Exempt Discretionary bonus eligible: Yes Sales bonus eligible: No Actual base salary will be determined based on several factors but not limited to individual’s experience, skills, qualifications, and job location. Additionally, employees are eligible for an annual discretionary bonus. In addition to base salary, employees may also be eligible to participate in an incentive program. Company Overview 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, collaborative problem-solving, and purpose-driven innovation. Here, you’ll find the rare balance of long-standing stability and forward momentum, supported by an inclusive team that honors tradition while embracing progress. As a Fortune 100 mutual company, we offer a place to grow your skills, contribute to meaningful work, and deliver solutions that matter. Your ideas drive what’s next, and your growth powers it. Our Benefits We provide a full package of benefits for employees – and have unique offerings for a modern workforce, including leave programs, adoption assistance, and student loan repayment programs. Based on feedback from our employees, we continue to refine and add benefits to our offering, so that you can flourish both inside and outside of work. Click here to discover more about our comprehensive benefit options or visit our NYL Benefits Site . Our Commitment to Inclusion At New York Life, 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. Click here to learn more about New York Life’s leadership in this space. 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 volunteerism, supported by the Foundation . We're proud that due to our mutuality, we operate in the best interests of our policy owners. To learn more about career opportunities at New York Life, please visit the Careers page of www.NewYorkLife.com . Visit our LinkedIn to see how our employees and agents are leading the industry and impacting communities. Visit our Newsroom to learn more about how our company is constantly evolving to meet our clients' and employees’ needs. Job Requisition ID: 94100 #LI-MC1 #Li-Hybrid

Requirements

Must-haves

Location Designation: Hybrid - 3 days per week
Own the core compliance program. Oversee execution of the foundational compliance activities and reviews that anchor the program, including the anti-money laundering program, FINRA Rule
3120 annual report, the Rule 206(4)-7 annual review for Eagle Strategies, the Code of Ethics, and the firm-wide written supervisory procedures (WSPs).
Working command of the relevant regulatory frameworks: FINRA rules, SEC Regulation Best Interest, the Investment Advisers Act of 1940, the Securities Exchange Act of 1934, and applicable state securities regulation.
Series 7, 24, and 65/66 (or equivalent) required
Demonstrated ability to engage credibly with regulators, senior business leaders, and to communicate complex regulatory issues with clarity, conviction, and commercial awareness.
Proven leadership and people-development skills, with experience building and leading compliance teams and influencing across the three lines of defense.
Exemplary integrity and ethical judgment, sound risk instincts, and a strong drive for continuous learning and professional growth.

Nice-to-haves

10+ years of progressive compliance experience at a retail broker-dealer and SEC-registered investment adviser, with prior service as a CCO, Deputy CCO, or other senior compliance leader strongly preferred.
Bachelor’s degree preferred; JD is a plus.

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Keywords to mirror

Platform: career-feeds
Effort: medium

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