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.

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