Compliance, Sr. Analyst (Greenville GO)


Posting Date: Nov 25, 2023

Location: Greenville, SC, 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 115 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 and the women’s markets. Agents sell individual life insurance, individual annuities, and long-term care insurance products, as well as mutual funds.



This role is housed in the Greenville GO


Role Overview

• Review all cases written by assigned agents

• Review all incoming 3010 logs for assigned agents. Follow-up when necessary

• Review all out going correspondence and provide to the appropriate department for approval

• Assist in agent training with regard to compliance/standards rules and regulations, including field observation

• Work with Management Team to identify and resolve potential red flag items generated locally or through Home Office

• Work with CCD, General Office and Zone to ensure that all complaints are processed in a timely manner

• Conduct all follow-up required after annual Supervisory Interview of assigned agents.

• Conduct and document client contact as necessary

• Ensure all seminar materials are submitted/approved and advance notifications are given to the General Office as required

• Ensure agent staff is properly trained



• Bachelor’s Degree preferred

• Minimum 2 years of industry experience

• Series 7 and 24 required

• Series 51 or 53 (or obtain within 12 months)

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

• Excellent communications skills (written and verbal)

• Strong analytical skills required

• Must be a self-starter, result oriented and a team player



Salary range: $75,000-$110,000 

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.



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: 89314





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