Compliance Analyst, Sales Marketing Review Unit

Location Designation: Hybrid - 3 days per week 

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.

Senior Associate, Sales Marketing Review Analyst (SMRU)

We are seeking a sales marketing review analyst to join our team and work closely with agent and corporate business groups to ensure compliance with SEC, FINRA regulations and company policies in our marketing materials. As a sales review analyst, you play a vital role in maintaining the integrity of our brand and ensuring marketing materials adhere to regulatory requirements. This role services agents and the business groups that support agents and the products agents offer, which encompasses life and disability income insurance, annuities, and registered products, such as 529 plans, mutual funds and variable life and annuity policies.  

Job Description and Responsibilities:

• Perform thorough and timely compliance reviews of marketing materials (including advertising and sales literature) for the agent salesforce and internal business partners and ensuring alignment with FINRA (specifically Rule 2210), SEC Rules, NAIC Advertising Guidelines, and Company policies.
• Deliver high-level service with rapid response to address advertising inquiries from our valued business partners and the agent salesforce.
• Educate and update business partners on regulatory changes within the industry and guidance on ensuring sales and advertising material are compliant.
• Participate in projects such as Artificial Intelligence tools that are used to make the workflow process more efficient and customer focus. This entails testing, training, and developing procedures.
• Serve as a Compliance lead for business groups as the Company introduces new products, sales strategies, and marketing campaigns.
• Independently work with agent and advisor submitters as they create their own marketing materials.    

Advertising Review training will be provided.  

Qualifications:

• Bachelor’s degree preferred.
• 3+ years of industry experience preferred but not required.
• FINRA SIE required.  FINRA Series 6/26 or Series 7/24 licenses preferred but not required. If hired, must pass the Series 6 in 3 months and the Series 26 in the next 3 months.
• General knowledge of life insurance and annuity products including the federal and state insurance and securities laws that regulate these products.
• Must possess excellent written and verbal communications skills.
• Must possess strong organizational skills to process a high volume of documents daily and work under pressure with tight deadlines.
• Must have critical thinking and analytical skills along with being a self-starter.
• Must be professional, customer focused, and agile.
• Must be proficient with MicroSoft Word, Excel, and PowerPoint and receptive to learning new computer systems and tools.

Salary range: $90,000-$135,000 

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 www.NewYorkLife.com.

Job Requisition ID: 90238

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