Senior Associate, Field Operations and Supervision

Location Designation: Fully Onsite 

When you join New York Life, you’re 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, you'll 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 You’ll 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 year-end requirements

What You’ll Bring:

• Bachelor’s 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)

• 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 self-starter, results-oriented, a team player and be able to prioritize responsibilities

#LI-SV1

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Pay Transparency

Salary Range:  $77,500 - $100,000 

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 individual’s 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 requires FINRA licensed and/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 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 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. To learn more about career opportunities at New York Life, please visit the Careers page of www.NewYorkLife.com.

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Job Requisition ID: 91313