Sr Associate for the Compliance Analytics and Monitoring team


Date: May 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 a driven and experienced professional to join its Compliance Analytics and Monitoring team. This new 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.



  • 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.
  • Gather and review data and information received from business units in response to testing requests, monitoring exceptions, regulatory exams/inquiries, and required filings such as the NAIC Market Conduct Annual Statement and NY Market Conduct Profile.
  • Collaborate with other business units in both Corporate Compliance and around the Company to develop corrective action plans and control improvements based on testing findings. Prepare testing documentation, summary reports, and distribute findings to cross-functional stakeholders and senior management as issues are identified.
  • Recommend solutions to Compliance and business management to resolve control gaps and enhance processes. Provide support and subject matter expertise during audits and regulatory exams.
  • Create and maintain testing and monitoring documents, procedures, and work papers to evidence methodologies.
  • Participate in the design and testing of new reports and enhancements to existing reports and systems to improve and automate existing processes.
  • Collect and analyze data related to customer complaints, sales, customer and agent data on a scheduled and ad hoc basis.
  • Ensure key trends, issues and watch items are presented clearly and accurately.
  • Perform special projects as needed.


Qualifications and Job Requirements

  • Bachelor’s Degree
  • 5+ years of experience in compliance, audit, assurance or internal control roles; experience as a securities or insurance regulatory examiner is a plus.
  • Advanced analytical and problem-solving skills.
  • Strong working knowledge of the products offered by New York Life and its affiliates.
  • Knowledge of life insurance, disability insurance, long term care insurance and annuity products preferred.
  • Knowledge of FINRA rules, federal securities laws and retail securities products such as mutual funds, 529 plans, and investment advisory programs preferred.
  • Proficient in Microsoft Excel and Access, including pivot tables, macros, forms and reports. Intermediate knowledge of SQL and Tableau preferred.
  • Excellent written and oral communication skills with the ability to present information in differing degrees of detail and form depending on the audience.
  • Excellent organization skills, ability to prioritize multiple tasks and follow through to meet deadlines.


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: 86052




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