Deputy Chief Compliance Officer, Corporate Vice President

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…