Job Requisition ID: 94603
Location Designation: Hybrid - 1 day per quarter
Role Overview:
As a Senior Associate within Field Supervision & Standards, you will serve as a registered Principal responsible for reviewing and approving business social media profiles while supporting the organization's supervisory and regulatory objectives.
Social media profile supervision represents the primary focus of this position. Field Supervision & Standards values cross-training, collaboration, and professional development. As business needs evolve, team members are encouraged to broaden their expertise, contribute across multiple supervisory disciplines, and participate in initiatives that strengthen both the department and the experience of New York Life's field force.
Success in this role requires sound judgment, intellectual curiosity, strong attention to detail, excellent communication skills, and the ability to balance regulatory requirements with practical business solutions.
What You'll Do:
• Serve as a registered Principal responsible for reviewing and approving business social media profiles in accordance with firm policy and applicable regulatory requirements.
• Evaluate profile content, biographies, images, links, and other profile elements using sound regulatory judgment and established supervisory standards.
• Provide practical, solution-oriented guidance to agents and field leaders regarding required revisions and acceptable digital business practices.
• Maintain accurate documentation and timely completion of supervisory reviews.
• Monitor review trends and identify recurring issues that may benefit from additional guidance, education, or process improvements.
Broader Contributions
In addition to core social media supervisory responsibilities, this role may also support a variety of broader Field Supervision & Standards initiatives, which may include:
• Supporting the review of higher-risk prospective financial professionals by gathering information, evaluating supervisory considerations, and assisting with risk-based recommendations.
• Assisting with complaint reviews, fiduciary role reviews, conflicts of interest oversight, family supervision plan monitoring, or other supervisory activities.
• Assisting in the development and delivery of training materials, job aids, and educational resources that support Field Supervision & Standards professionals and field leaders.
• Partnering with colleagues across Compliance, Legal, Marketing, Technology, and Field Leadership to support new business initiatives, technology enhancements, and supervisory improvements.
• Participating in projects involving workflow optimization, operational efficiencies, and continuous process improvement.
• Contributing to departmental initiatives that strengthen supervisory consistency and enhance the experience of New York Life's field force.
What Success Looks Like in this role:
• Delivering timely, thoughtful, and accurate supervisory reviews while exercising sound regulatory judgment.
• Building trusted relationships by providing practical, solution-oriented guidance to field partners.
• Demonstrating curiosity and expanding your knowledge across multiple supervisory disciplines.
• Identifying opportunities to improve processes and contribute to operational excellence.
• Collaborating effectively with teammates and business partners to advance the mission of Field Supervision & Standards.
What You'll Bring:
You're a thoughtful, collaborative professional who enjoys solving problems, improving processes, and helping others navigate complex regulatory requirements.
You exercise sound judgment, communicate effectively with a wide variety of stakeholders, and are comfortable making thoughtful, risk-based decisions in a fast-paced environment.
You recognize that effective supervision extends beyond applying rules-it involves partnering with the business, promoting responsible practices, and helping protect both the firm's reputation and the interests of its clients and financial professionals.
Required
• Bachelor's degree or equivalent professional experience.
• FINRA Series 7 and Series 24 registrations.
• Strong analytical and problem-solving skills.
• Excellent written and verbal communication skills.
• Ability to interpret and apply regulatory and supervisory requirements.
• Strong organizational skills with the ability to manage multiple priorities.
• Demonstrated sound judgment and professionalism.
Preferred
• Experience in financial services supervision, compliance, risk management, or a related regulatory environment.
• Experience reviewing or supervising social media activity within a regulated industry.
• Familiarity with FINRA, SEC, and insurance regulatory requirements related to digital communications.
• Experience supporting process improvement initiatives, workflow optimization, or technology enhancements.
• Demonstrated ability to collaborate effectively across multiple business functions.
#LI - EM1
#LI - REMOTE
Job Level: LEVELPF3
Pay Transparency
Salary Range: $73,000-$104,000
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.Click hereto discover more about our comprehensive benefit options or visit our NYL Benefits Site.
Job Requisition ID: 94603
