Title: Senior Associate, Suitability Compliance Location: Remote, New York, United States Job Description: Business Unit Overview Purchase Experience Corporate Compliance partners with diverse business units to develop and implement robust compliance programs, fostering integrity and minimizing risk. Collaborate with a dedicated team to craft practical policies, train employees and ensure the company’s actions align with core principles and external regulations. Your contributions help to safeguard the company's reputation, empower responsible decision-making and pave the way for sustainable growth. Role Overview The Suitability Team is responsible for the timely review of new and replacement sales, as well as certain in-force transactions, for life insurance, annuity, and mutual fund products. This role serves as a Registered Principal and supports New York Life’s commitment to maintaining suitability standards, regulatory compliance, and exceptional service to the Field. The Senior Associate reviews complex transactions, provides suitability determinations, partners with agents and business partners to resolve case inquiries, and contributes to process improvements that enhance operational effectiveness and risk management. What You'll Do · Review annuity, life insurance, and mutual fund transactions using administrative systems and provide Principal-level suitability determinations in accordance with company policies and regulatory requirements. · Investigate and resolve escalated suitability cases, partnering with agents and internal stakeholders to gather information, assess risk factors, and support informed decision-making. · Monitor transaction activity and identify trends, emerging risks, or potential compliance concerns, escalating matters to Corporate Compliance and management as appropriate. · Deliver guidance and support to agents on suitability requirements, pending transactions, and program-related inquiries while maintaining a high level of service and professionalism. · Lead or contribute to initiatives that improve workflow efficiency, regulatory compliance, reporting, controls, training, and communication across the suitability program. What You'll Bring Required Skills · Bachelor’s degree or equivalent professional experience. · 3+ years of experience within the securities or financial services industry, preferably supporting life insurance, annuity, and mutual fund products. · Active FINRA Series 6 and Series 26 registrations. · Strong analytical, investigative, and decision-making skills with the ability to assess complex suitability scenarios. · Excellent written and verbal communication skills, with the ability to explain regulatory requirements and recommendations to diverse audiences. · Ability to manage multiple priorities, maintain attention to detail, and exercise sound judgment in a regulated environment. Preferred Skills · Active FINRA Series 7 and Series 24 registrations. · Experience supporting audits, regulatory examinations, or compliance-related projects. · Knowledge of FINRA, SEC, and state insurance regulations related to suitability and replacement review. · Familiarity with AI-enabled business tools and emerging technologies that support operational effectiveness and risk management. ​Job Level: LEVELPF3 Pay Transparency Salary Range: $81,000-$110,000 Overtime eligible: Exempt Discretionary bonus eligible: Yes Sales bonus eligible: No Actual base salary will be determined based on several factors but not limited to individual’s experience, skills, qualifications, and job location. Additionally, employees are eligible for an annual discretionary bonus. In addition to base salary, employees may also be eligible to participate in an incentive program. Please note: This role requires FINRA licensed and/or FINRA Associated Person pre-hire fingerprinting. Our Benefits We provide a full package of benefits for employees – and have unique offerings for a modern workforce, including leave programs, adoption assistance, and student loan repayment programs. Based on feedback from our employees, we continue to refine and add benefits to our offering, so that you can flourish both inside and outside of work.

Role Description Lifekind Health is building its compliance program and is seeking an experienced healthcare regulatory and compliance consultant for a focused, six-month engagement. The organization has grown quickly — including a recent acquisition of eight Arizona clinics — and now needs a dedicated expert to assess the current state, surface and prioritize risk, and help stand up the systems that keep the organization compliant going forward. This is a remote engagement, but it is a hands-on, embedded one — not a desk-advisory role. The consultant works directly with people in each department (billing, front desk/scheduling, HR, clinic managers, IT, and the acquired-clinic leads) over Teams, phone, screen-share, and email, pulls and tests real records and data, drives remediation, and leaves behind durable infrastructure a lean internal team can operate. The Mindset We're Looking For - Solutions-oriented: Identify compliant paths to business goals rather than just flagging problems. - Business-literate: Understand compliance as a means for confident operation, weighing practical impact, cost, and speed alongside risk. - Pragmatic about risk: Distinguish real exposure from theoretical risk to help leadership make informed decisions. - Clear and candid: Explain the "why" in plain language to non-lawyers and provide straightforward advice. Scope of Work The engagement runs in three overlapping phases over roughly six months. All work is performed remotely, but this is embedded, hands-on work — the consultant is in the systems and on calls with the people who actually do the work, not reviewing documents from a distance. The consultant works alongside in-house counsel and in coordination with outside counsel. - Phase 1 — Assess (≈ Months 1–2): - Meet directly with billing, front desk/scheduling, HR, clinic managers, IT, and acquired-clinic leads over Teams, video, and phone. - Pull and test real records and data against governing rules using a defensible sampling method. - Press hardest on the eight newly acquired Arizona clinics, interviewing their people and testing their records directly. - Score and prioritize findings into a ranked risk register and flag any time-sensitive findings to counsel immediately. - Phase 2 — Remediate & Prioritize (≈ Months 2–4): - Work the prioritized register hands-on with internal owners to correct processes and implement controls. - Develop practical, compliant options for each significant issue to facilitate quick leadership decisions. - Draft or revise foundational policies and procedures needed to close priority gaps. - Run live exclusion screening and spot-checks during this phase. - Phase 3 — Build the Durable System (≈ Months 4–6): - Stand up ongoing monitoring and auditing machinery, including an audit calendar and recurring monitoring routines. - Develop and/or personally deliver role-appropriate training to staff, confirming completion. - Walk the internal team through a transition package live. Qualifications - Substantial healthcare regulatory compliance experience, ideally including building or significantly maturing a compliance program. - Working knowledge of the federal framework: Anti-Kickback Statute, Stark/physician self-referral, False Claims Act, Medicare/Medicaid requirements, exclusion screening, and OIG compliance-program guidance. - Familiarity with practical compliance issues of multi-site outpatient operations and post-acquisition integration. - Demonstrated ability to perform hands-on work directly — pulling and testing samples, running audits, conducting interviews and walkthroughs, and executing fixes. - Proven ability to work effectively as an embedded remote resource, driving work and building relationships across departments. Requirements - Direct California and/or Arizona healthcare regulatory experience, and comfort flagging material CA/AZ differences. - Experience with ambulatory surgery centers, clinical research compliance, and/or health-tech/EMR contexts. - Relevant credentials (e.g., CHC / CHPC / CHRC or equivalent), or comparable demonstrated expertise. - Experience working alongside outside counsel within an attorney-directed, privilege-aware workflow. Working Relationship & Engagement Terms - Independent contractor (1099). - Project-based consultant. Not an employment relationship; no employee benefits. - Remote work with no required on-site presence; availability during business hours across Pacific/Mountain time zones. - Assessment and analysis coordinated with in-house and outside counsel, following confidentiality and privilege protocols. - Handles sensitive organizational and patient information; will execute appropriate confidentiality agreements. - Specific milestones, fees, and acceptance criteria set out separately.

• Support monitoring activities (data collection) • Support monitoring CAPAs • Support transfer of value reporting • Manage annual FMV updates • Preparation, communication and monitoring of Data Privacy Notice (DPN) • Support compliance trainings (systems) • Support with systems by being a super user (e.g. Veeva, SOOS) • Supporting Compliance Director and Senior Compliance Manager with various tasks

• Support monitoring activities (data collection) • Support monitoring CAPAs • Support transfer of value reporting • Manage annual FMV updates • Preparation, communication and monitoring of Data Privacy Notice (DPN) • Support compliance trainings (systems) • Support with systems by being a super user (e.g. Veeva, SOOS) • Supporting Compliance Director and Senior Compliance Manager with various tasks