Compliance, Senior Associate, Agency Standards

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Date: May 10, 2019

Location: New York, NY, US

Company: New York Life Insurance Co

 

A career at New York Life offers many opportunities. To be part of a growing and successful business. To reach your full potential, whatever your specialty. Above all, to make a difference in the world by helping people achieve financial security. It’s a career journey you can be proud of, and you’ll find plenty of support along the way. Our development programs range from skill-building to management training, and we value our diverse and inclusive workplace where all voices can be heard. 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 service, supported by our Foundation. It all adds up to a rewarding career at a company where doing right by our customers is part of who we are, as a mutual company without outside shareholders. 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 www.NewYorkLife.com.

 

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.

 

This role is housed in the Greater New York 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.

 

Qualifications

  • 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

 

Please note: This role requires FINRA licensed and/or FINRA Associated Person pre-hire fingerprinting.

 

EOE M/F/D/V

 

If you have difficulty using or interacting with any portions of this Web site due to incompatibility with an Assistive Technology, if you need the information in an alternative format, or if you have suggestions on how we can make this site more accessible, please contact us at: (212) 576-5811.

 

SF:LI-MC1


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