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Welcome to SVA’s jobs portal, your one-stop shop for finding the most up to date source of employment opportunities. We have partnered with the National Labor Exchange to provide you this information. You may be looking for part-time employment to supplement your income while you are in school. You might be looking for an internship to add experience to your resume. And you may be completing your training ready to start a new career. This site has all of those types of jobs.

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New York Life Insurance Company Assistant General Counsel, Broker-Dealer Attorney in New York, New York

Location Designation: [[cust_rolelocationdesignation]]

When you join New York Life, you’re joining a company that values career development, collaboration, innovation, and inclusiveness. We want employees to feel proud about being part of a company that is committed to doing the right thing. You’ll have the opportunity to grow your career while developing personally and professionally through various resources and programs. New York Life is a relationship-based company and appreciates how both virtual and in-person interactions support our culture.

The New York Life Office of General Counsel is seeking astrategicand practical retail broker-dealer attorney to join the legal teamsupportingNew York Life’s Wealth Management division, consisting of NYLIFE Securities, a registered introducing broker-dealer, and Eagle Strategies, a registered retail investment adviser, both wholly-owned subsidiaries of New York Life Insurance Company. This individual will advise on all issues affecting the business and distribution network of over 6,000 registered representatives.

The Assistant General Counsel will:

  • Advise on applicable financial services related laws, rules, and regulations, including FINRA Rules, the Securities Exchange Act of 1934, Regulation Best Interest, and state securities laws and regulations applicable to FINRA member firms

  • Providestrategiclegal guidance and support on a wide variety of broker-dealer issues, including supervision, sales practices, conflicts of interest, registration, operations, and compliance

  • Collaborate with business, compliance and legal teams to ensure compliance with all applicable laws and regulations andcorporatepolicies applicable to retail broker-dealer products and services

  • Communicatewith various regulatory bodies directly and through industry associations regarding changes in laws and policies that may have an impact on the Wealth Management business

  • Draft, review, and provide guidance on required regulatory and transactional documents, including Form CRS, customer account agreements, intermediary selling and servicing agreements, client profile forms, and best interest disclosures

  • Work with the compliance department to prepare responses, including preparing witnesses, for routine and for-cause FINRA and SEC regulatory examinations

  • Review vendor, product sponsor, sales/marketing materials and client forms and agreements

  • Assist in the review and consideration of new products, programs and services offered by the Wealth Management businesses

  • Draft, review and provide guidance on compliance and operational procedures

Requiredskillsand qualifications:

  • 5+ years of relevant experience law firm, industry, or regulatory experience as a practicing attorney

  • Substantial background and experience advising FINRA member broker-dealers and responding to regulatory examinations. Experience with insurance-affiliated broker-dealers and dual-registrants strongly preferred.

  • J.D. (or equivalent law degree) required

  • Strategic and critical thinking skills, excellent judgment, and ability to make independentdecisions

  • Excellent written and oral communicationskills

  • Admission to the New York State Bar required.

Salary range: [[cust_salaryRangePosting]]

Overtime eligible: [[customString6]]

Discretionary bonus eligible: [[cust_merit]]

Sales bonus eligible: [[stockPackage]]

Click here to learn more about ourbenefits (https://www.newyorklife.com/careers/corporate/benefits) . Starting salary is dependent upon several factors including previous work experience, specific industry experience, and/or skills required.

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 (https://www.newyorklife.com/foundation) . We're proud that due to our mutuality, we operate in the best interests of our policy owners. We invite you to bring your talents to New York Life, so we can continue to help families and businesses “Be Good At Life.” To learn more, please visitLinkedIn (https://www.linkedin.com/company/newyorklife/) , ourNewsroom (https://www.newyorklife.com/newsroom/) and theCareers (https://www.newyorklife.com/about/careers/) page of www.NewYorkLife.com .

Job Requisition ID: [[id]]

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