Sales Marketing Review Unit, Senior Associate


Date: Jan 16, 2021

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


Job Description and Responsibilities:


  • Conduct complete and timely compliance reviews of marketing materials, retail and institutional, to ensure compliance with applicable FINRA rules related to communications with the public (specifically rule 2210), SEC Rules, as well as applicable Company policies and procedures.
  • Respond to all inquiries regarding advertising concerns.
  • Provide guidance to authors of advertising and sales material about applicable regulatory standards, company policies and procedures and the regulatory environment
  • Educate and update clients on specific changes within the industry affecting advertising material and approval process.
  • Bachelor’s Degree.
  • Series 7 and 24 FINRA licenses.
  • 6+ years of experience in compliance advertising review.
  • Knowledge of the following:
    • Mutual Funds, Exchange Traded Funds (ETFs);
    •  Unit Investment Trust (UITs);
    • Separate Managed Accounts (SMAs)
    • Investment Adviser Advertising, including some knowledge of GIPS standards;
    • Strong working knowledge of securities laws, rules, and regulations relating to retail and institutional communications.
  • Ability to process all material assigned for review and approval in a timely manner.
  • Must possess excellent written and verbal communications skills.
  • Must be able to prioritize and make good judgments, including when to escalate matters to management.
  • Must be highly organized in order to process a high volume of documents daily.
  • Must be able to work effectively under pressure and tight deadlines.
  • Must have excellent computer skills, proficient in PowerPoint, Adobe, and Snagit.
  • Must be proactive.
  • Must be objective and professional.
  • Must exhibit excellent customer service & always respond promptly and in a professional manner.





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