Senior Associate, Agency Standards (Compliance) Manager
Senior Associate, Agency Standards (Compliance) Manager
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$ 97500 - 139500
1 Vacancy
Job Description
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 Lifes 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 firms 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 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
Required Skills:
- Bachelors 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
Pay Transparency
Salary Range:$97500 - $139500
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.
Company Overview
At New York Life our 180-year legacy of purpose and integrity fuels our future. As we evolve into a more technology- data- and AI-enabled organization we remain grounded in the values that drive lasting impact.
Our diverse business portfolio creates opportunities to make a difference across industries and communitiesinviting bold thinking collaborative problem-solving and purpose-driven innovation. Here youll find the rare balance of long-standing stability and forward momentum supported by an inclusive team that honors tradition while embracing progress.
As a Fortune 100 mutual company we offer a place to grow your skills contribute to meaningful work and deliver solutions that matter. Your ideas drive whats next and your growth powers it.
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 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 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 .
Visit our LinkedIn to see how our employees and agents are leading the industry and impacting communities.
Job Requisition ID:92606
Required Experience:
Manager
Employment Type
Full-Time
