Apogem Capital is part of New York Life, a Fortune 100 mutual company with a long-standing legacy. The Corporate Compliance Associate will contribute to compliance oversight and governance, ensuring adherence to regulatory requirements and supporting the development of policies and procedures within 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 Eagle 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 oversight and ensure operational alignment with the Company’s compliance framework
- 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 complex data and identify actionable insights
- Proficient in virtual collaboration platforms, including Microsoft Teams and Zoom
- Skilled in leveraging artificial intelligence tools (e.g., ChatGPT, Microsoft 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 Microsoft Office applications
- This role requires FINRA Associated Person pre-hire fingerprinting
- Prior experience in business or compliance functions within a broker-dealer, registered investment adviser, financial services organization, or related 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
Apogem Capital is an alternatives investor, with decades of experience investing in the middle market. It was founded in 2022, and is headquartered in New York, New York, USA, with a workforce of 201-500 employees. Its website is https://apogemcapital.com/.
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