Compliance, Sr. Associate


Posting Date: Sep 26, 2023

Location: Franklin, TN, US

Company: New York Life Insurance Co

Location Designation: Fully Onsite/Essential Employees 



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.



New York Life’s primary distribution channel is the career Agency sales force of more than 12,000 agents, operating in virtually every major city in the United States.  Every agent is affiliated with one of our 117 General Offices. These offices are operated by Agency management teams responsible for agent and management recruiting, development, and sales.  Approximately half our agents operate their businesses out of our General Offices, while the other half maintains independent office locations. 


Our General Offices are divided up among four Zones. In addition to our Zone offices, an Agency Home Office team responsible for strategy, finance, administration, standards, training, marketing and communications supports our agents and field managers.  The Agency operation also comprises teams charged with growing our business in key market segments, including the middle-income market, the advanced (high-net-worth) market, select cultural markets, and the women’s markets. Agents sell individual life insurance, individual annuities, and long-term care insurance products, as well as mutual funds.


Role Overview

• Assist Managing Partner in Agent Supervision

• Complete Unannounced Annual Reviews

• Review incoming correspondence and handle red flags as appropriate

• Review outgoing correspondence

• Conduct Firm Element and Registered Representative Training

• Maintain Sales Material Review Procedures

• Train agents on proper file procedures

• Handle complaints

• Follow-up and track compliance and supervision operations

• Handle/maintain registered products

• Prepare for General Office Reviews



• Bachelor’s Degree preferred

• Minimum 2 years of industry experience

• Comprehensive knowledge of registered and non-registered products

• Must have Series 7 & Series 24

• Preferred Series 51 or 53

• Series 65, 66 or ChFC (or obtain within 6 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



Salary range: $82,500-$122,500 

Overtime eligible: Exempt 

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.


Nearest Major Market: Nashville

Job Segment: Series 7, Finance