Senior Specialist - Compliance


Date: May 25, 2023

Location: Bethlehem, PA, US

Company: New York Life Insurance Co

Location Designation: Hybrid 



When you join New York Life, you’re joining a company that values career development, collaboration, innovation, and inclusiveness. We want employees to feel proud about being part of a company that is committed to doing the right thing. You’ll have the opportunity to grow your career while developing personally and professionally through various resources and programs. New York Life is a relationship-based company and appreciates how both virtual and in-person interactions support our culture.





This position primarily involves a hybrid work schedule - working remotely: Monday & Friday / on site: Tuesday, Wednesday and Thursday. Under certain circumstances, will consider a remote option.


The Compliance Associate will work with the Producer Licensing team to support the contracting, licensing, appointment functions, and other compliance activities of our Group Benefits Solutions business units, working with internal partners such as the Corporate Compliance Department, the Office of the General Counsel and Corporate Risk Management. The Compliance Associate shall obtain a good understanding of the products, operations, and services of Group Benefit Solutions to help ensure compliance with applicable regulatory requirements, New York Life Policy, and industry best practices.


Primary Responsibilities:

  • Work with internal partners to develop, implement, maintain, and enforce compliance with written agreements and established guidelines for contracting, licensing and appointment of third-party producers.
  • Stay abreast of applicable regulatory changes, assess, communicate, and help implement such changes related to employer group insurance products.
  • Perform initial/periodic due diligence on third-party producers seeking initial/renewed appointments by reviewing background and disclosures such as customer complaints, regulatory actions, credit, civil, criminal and employment history, and recommend approval or denial.
  • Assist with accurate, timely and complete responses to exams and inquiries.
  • Develop excellent working relationships with business and corporate partners.
  • Serve as steward and advocate for the business on corporate compliance-related working groups.
  • Prepare written reports on the results of various compliance activities.
  • Serve as a resource to business colleagues regarding compliance matters.
  • Assist with internal SOX compliance reviews


  • Bachelor’s Degree preferred
  • Minimum 2+ years of compliance experience, preferably in the financial service industry
  • Ability to understand and interpret federal and state regulations as well as compliance principles and application to life insurance and group disability insurance products
  • Good business sense, inquisitiveness, intellectual curiosity, and strong desire to learn
  • Excellent oral and written communications skills
  • Excellent interpersonal relationship and organizational skills
  • Strong decision-making and critical thinking skills
  • Ability to interact effectively with all levels of management  





Salary range: $50,000-$75,000 

Overtime eligible: Nonexempt 

Discretionary bonus eligible: Yes 

Sales bonus eligible: No 


Click here to learn more about our benefits. Starting salary is dependent upon several factors including previous work experience, specific industry experience, and/or skills required.


Recognized as one of Fortune’s World’s Most Admired Companies, New York Life is committed to improving local communities through a culture of employee giving and volunteerism, supported by the Foundation. We're proud that due to our mutuality, we operate in the best interests of our policy owners. We invite you to bring your talents to New York Life, so we can continue to help families and businesses “Be Good At Life.” To learn more, please visit LinkedIn, our Newsroom and the Careers page of

Job Requisition ID: 88994






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