Senior Associate, Agency Standards (Compliance) Manager

Location Designation: Fully Onsite 

 

Our New York Life culture has laid the foundation for over 180 years of commitment to our employees, agents, policy owners, and the communities where we live and work. Here you become a valued part of a welcoming, inclusive, and caring organization with a long-standing legacy in stability and growth. The strength revolves around our diversified, multi-dimensional business portfolio that goes beyond life insurance.

 

As a Fortune 100 company and industry leader, we provide an environment where you can explore your career ambitions, offering opportunities to tackle meaningful challenges and stretch your skills while balancing work and life priorities.  You will be part of an inclusive team guided by our belief to always be there for each other–providing the support and flexibility to grow and reach new heights while making an impact in the lives of others.

 

You are our future, and we commit to investing in you accordingly.

 

Business Unit Overview

Our Agency distribution system is the cornerstone of New York Life, where dedicated individuals like you connect with clients and build lifelong relationships. As part of our team, you'll equip agents with the tools and trainingthey need to thrive. Your work helps foster financial security for countless individuals, shaping their futures and contributing to the growth of the business.

 

Role Overview:

As a key member of New York Life’s Agency distribution system, you will assist the Managing Partner in maintaining and executing critical supervisory systems within the General Office. This role involves direct oversight of agents, Registered Representatives, and Investment Advisor Representatives through regular inspections, compliance training, and supervision programs. You will also serve as a primary compliance resource, ensuring adherence to regulatory requirements and helping to uphold the firm’s high standards. Ideal candidates bring a solid foundation of industry knowledge, relevant licenses, and a proactive, detail-oriented approach to promoting operational excellence and regulatory integrity.

 

What You’ll Do:

• Assists the Managing Partner with Agent, Registered Rep and IAR Supervision and executing the Supervisory Systems within the General Office
• Conducts Periodic Inspections and Supervisory Interviews with Agents, Registered Reps & IARs and handles all follow-up required
• Handles the Seminar Supervision Program
• Handles the Enhanced Supervision Programs for Agents and Registered Reps
• Handles the Financial Supervision Program for Agents and Registered Reps
• Conducts Incoming and Outgoing Correspondence Reviews and Resolution of Red Flag Items
• Assists the Managing Partner in recommending and delivering Disciplinary Actions
• Serves as the “point person” to field and answer Standards and Compliance related questions from Agents, Registered Reps, IARs and Field Managers
• Conducts Site Inspections for General Offices, Sales Offices and Satellite Offices
• Assists with Complaint Review Handling and Resolution
• Conducts Standard and Compliance Related Training for Agents, Registered Reps, and IARs
• Assists with follow up for all agent, Registered Rep and IAR regulatory year-end requirements

 

What You’ll Bring:

• Bachelor’s Degree and/or equivalent experience
• Minimum 2 years of industry experience
• Comprehensive knowledge of registered and non-registered products
• Must have Series 7 & Series 24 (Or obtain Series 24 within 90 days)
• Preferred Series 51 or 53
• Series 65, 66 or ChFC (or obtain within 12 months)
• Excellent communication skills (written and verbal)
• Strong analytical skills required
• Must be a self-starter, results-oriented, a team player and be able to prioritize responsibilities

 

 

Pay Tran