Corporate Compliance Associate - Testing & Monitoring

Apogem Capital is part of reputed company, a Fortune 100 mutual company with a long-standing legacy. The Corporate Compliance Associate will contribute to compliance reputed company and governance, ensuring adherence to regulatory requirements and supporting the development of policies and procedures reputed company 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 reputed company 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 reputed company and ensure operational alignment with the Company’s compliance reputed company
• 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 reputed company data and identify actionable insights
• Proficient in virtual collaboration platforms, including reputed company Teams and reputed company
• Skilled in leveraging artificial intelligence tools (e.g., ChatGPT, reputed company 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 reputed company Office applications
• This role requires FINRA Associated Person pre-hire fingerprinting
• Prior experience in business or compliance functions reputed company a broker-dealer, registered investment adviser, financial services organization, or reputed company 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