Job Requisition ID: 94287
Location Designation: Fully Onsite
Job Title: Senior Associate, Agency Standards (Compliance Manager)
Dept/Sub Dept: Field Operations Value Stream/Field Supervision
Location:
Location Designation: Fully Onsite
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
Required Skills:
• 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)
• 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
Preferred Skills:
• Preferred Series 51 or 53
Job Level: LEVELPF3
Pay Transparency
Salary Range: $81,000-$115,500
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.Click hereto discover more about our comprehensive benefit options or visit our NYL Benefits Site.
