Senior Associate, Compliance Analytics & Monitoring


Date: Aug 5, 2022

Location: New York, NY, US

Company: New York Life Insurance Co



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, Compliance Analytics & Monitoring


The Corporate Compliance Department (CCD) of New York Life Insurance Company seeks an experienced professional to join its Compliance Analytics and Monitoring team. This team is responsible for providing reporting, business intelligence, and analytics support to CCD. The team is also tasked with performing testing and monitoring of the retail insurance and securities businesses and identifying opportunities to strengthen the Company's regulatory control environment.  You will accomplish this through data validation, analysis, and trending, which may be utilized to define new reports, dashboards, and analytics processes that better identify potential regulatory, sales practice and supervision risks. Working collaboratively with other teams within CCD and with key business partners will be imperative.




  • Prepare and distribute reports and insights related to customer complaints, sales, and customer and agent data on a scheduled and ad hoc basis.
  • Participate in the design, development, and testing of new reports and dashboards.
  • Solve strategically significant questions through innovative analytical techniques and rigorous reviews in close collaboration with the Head of Compliance Analytics and Monitoring.
  • Scope, design, and execute testing and monitoring of assigned risk areas. Review monitoring dashboards and reports to identify potential concerns requiring further review or follow-up.
  • Recommend solutions to CCD and business management to resolve control gaps and enhance processes.
  • Create and maintain testing and monitoring documents, procedures, and work papers to evidence methodologies.
  • Provide support to other team members handling regulatory exams, inquiries and required filings such as the NAIC Market Conduct Annual Statement and NY Market Conduct Profile, as needed.
  • Perform special projects as needed.


Qualifications and Job Requirements


  • Bachelor’s degree
  • 2+ years of experience in a related field; financial services experience a plus, preferably in a compliance or audit function
  • Proficiency with Excel, SQL and Tableau required; Python preferred
  • Preferred: Experience with supervised learning techniques, predictive modeling, statistical analysis, and experimental design
  • Knowledge of insurance, annuity and securities products preferred but not required
  • Excellent communication and project management skills


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: 86833




Nearest Major Market: Manhattan
Nearest Secondary Market: New York City

Job Segment: Statistics, Social Media, Data Analyst, Business Intelligence, Project Manager, Data, Marketing, Technology