Senior Associate, Compliance


Date: Jan 19, 2023

Location: New York, NY, US

Company: New York Life Insurance Co

Location Designation:  



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.




Job Description and Responsibilities:


  • Conduct complete and timely compliance reviews of marketing materials (advertising and sales literature) for the salesforce in order to ensure compliance with applicable FINRA (specifically rule 2210)/SEC Rules, NAIC Advertising Guidelines, as well as Company policies and procedures.
  • Respond to inquiries regarding advertising concerns from Business partners.
  • Provide guidance to authors of advertising and sales material about applicable policies and procedures and the regulatory environment
  • Educate and update clients on specific changes within the industry affecting advertising material and approval process.


Advertising Review training will be provided.  


  • Bachelor’s degree.
  • Series 6 and 26 OR Series 7 and 24 FINRA licenses preferred but not required. SIE required. (Upon hire, they will be required to be take Series 6 and 26 within 6 months of employment).
  • 3+ years of industry experience or related internship experience preferred but not required.
  • General knowledge of the following:
    • Life insurance and annuity products or general insurance products
    • Federal and state insurance laws and regulations (Group life and group disability insurance products a plus)
    • Securities laws and regulations (including FINRA rules applicable to communications and sales material)
  • Ability to process 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 on a daily basis.
  • Must be able to work effectively under pressure and tight deadlines.
  • Must have excellent computer skills, proficient in PowerPoint, Adobe, and Snagit.
  • Must have good judgment, be a self-starter and proactive.
  • Must be objective and professional.
  • Must exhibit excellent customer service & always respond promptly and in a professional manner.

SF: LI - LS1




Salary range: $72,500-$107,500 

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.


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


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: 88469



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

Job Segment: Advertising, Series 7, Social Media, Intern, Marketing, Finance, Entry Level