Senior Associate Field Operations and Supervision 91316
Senior Associate Field Operations and Supervision 91316
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$ 77500 - 100000
1 Vacancy
Job Description
Location Designation:Fully Onsite
When you join New York Life youre joining a company that values development career growth collaboration innovation and diversity & inclusion. We want employees to feel proud about being part of a company that is committed to doing the right thing. Through various resources and programs you can grow your career while developing personally and professionally.
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 youll equip agents with the tools and training they need to thrive. Your work helps foster financial security for countless individuals shaping their futures and contributing to the growth of the business.
What Youll 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 handle 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 yearend requirements
What Youll Bring:
- Bachelors Degree and/or equivalent experience
- Minimum 2 years of industry experience
- Comprehensive knowledge of registered and nonregistered 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 selfstarter resultsoriented a team player and be able to prioritize responsibilities
#LISV1
Pay Transparency
Salary Range:$77500 $100000
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 individuals 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 requiresFINRA licensedand/or FINRA Associated Person prehire 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 here to discover more about our comprehensive benefit options or visit our NYL Benefits Site.
Our Diversity Promise
We believe in a diverse workforce because it is our mission to advocate for the financial security and success of people in every community. This is why diversity equity and inclusion (DEI) are guiding principles that are embedded in our brand and our culture. Click here to learn more about how we have been recognized for our leadership.
Recognized as one of Fortunes Worlds Most Admired Companies New York Life is committed to improving local communities through a culture of employee giving and volunteerism supported by theFoundation.Were proud that due to our mutuality we operate in the best interests of our policy owners. To learn more about career opportunities at New York Life please visit the Careers page of www.NewYorkLife.
Job Requisition ID:91316
Required Experience:
Senior IC
Employment Type
Full-Time
