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Alpesh Rathod
Chief Compliance Officer - NYL Investors
New York Life Insurance Company•Greater New York City Area
View LinkedIn ProfileExperience31+ Years
LevelCXO
Career Timeline
- Sep 2017–Present· 9 yrs
- Chief Compliance Officer, NYL InvestorsCurrentSep 2017–Present
- Feb 2012–Jul 2017· 5 yrs 5 mos
- Deputy CCOFeb 2012–Jul 2017
- Jun 2009–2012· 2 yrs 7 mos
- WL Ross & Co. LLC (Private Equity) Bank Loans (40 Act Funds, CLOs) - ComplianceJun 2009–2012
- Sep 2004–Mar 2009· 4 yrs 6 mos
- Global Wealth & Investment Management - Compliance Executive/Chief Compliance OfficerSep 2004–Mar 2009
- Jul 2002–Sep 2004· 2 yrs 2 mos
- Vice President/Director of Investment Adviser ComplianceJul 2002–Sep 2004
- 1998–Jul 2002· 4 yrs 6 mos
- Principal Consultant/Senior Manager, Regulatory Compliance Consulting Group1998–Jul 2002
- Mar 1995–1998· 2 yrs 10 mos
- Securities Compliance Examiner, Division of Investment ManagementMar 1995–1998
Education
BS
Accounting
Saint Peter's UniversityExecutive Relationship Map
Reports To
Alpesh Rathod
Vice Chair & President
Chief Financial Officer
Chief Technology Officer
Chief Operating Officer
Skills & Expertise
Wealth ManagementPortfolio ManagementSecurities RegulationHedge FundsMutual FundsFundingInvestment ManagementFINRADue DiligenceFinancial ServicesPrivate EquityFund Of FundsFixed IncomeInvestmentsEquitiesAsset ManagementInvestment AdvisoryCapital MarketsAMLAlternative Investments