Senior Associate, Agency Standards Compliance Manager
Senior Associate, Agency Standards Compliance Manager
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Job Description
Job Requisition ID:92396
Location Designation:Fully Onsite
Location: This is a full-time onsite position requiring employees to reside within a commutable distance (approximately 50 miles) of the designated office location in Bellevue WA. This role covers the Seattle Metro and Alaska markets and will require travel within these areas.
Role Overview:
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 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 Youll Bring:
- Bachelors Degree or equivalent experience
- Minimum 2 years of experience in the insurance industry
- 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:
- Series 51 or 53
Pay Transparency
Salary Range:$77500-$132500
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 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 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 here to discover more about our comprehensive benefit options or visit our NYL Benefits Site.
Our Commitment to Inclusion
At New York Life fostering an inclusive workplace is fundamental to who we are and how we serve our communities. We have a longstanding commitment to creating an environment where individuals can contribute their best and succeed together. This foundation is rooted in our core values of humanity and integrity ensuring that every employee feels valued and supported. By embracing a broad range of perspectives and experiences we achieve greater success and fulfill our promise of providing financial security and peace of mind to families across all communities. Click here to learn more about New York Lifes leadership in this space.
Recognized as one ofFortunes Worlds Most Admired Companies New York Life is committed to improving local communities through a culture of employee giving and volunteerism supported by the 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 .
Job Requisition ID: 92396
Required Experience:
Manager
Employment Type
Full-Time
