Apogem Capital · 1 week ago
Corporate Compliance Associate - Testing & Monitoring
New York, NY
Full-time
Hybrid
New Grad, Entry Level
$64K/yr - $90K/yrApogem 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.
Financial Services
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
Qualification
Required
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
Preferred
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
Apogem Capital
Apogem Capital is an alternatives investor, with decades of experience investing in the middle market.
Founded in 2022
201-500 employees
Funding
Current Stage
Growth StageLeadership Team
Josh Niedner
Chief Executive Officer
Recent News
AltAssets Private Equity News
2025-11-26
2025-11-24
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