Date: Nov 19, 2022

Location: Remote, NY, US

Company: New York Life Insurance Co

Location Designation: Remote 



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.




Location: This is a work-at-home/remote position within a commutable distance (approximately 50 miles) of the designated office location: Manhattan, New York


The Senior Associate will handle most quality control functions of the Regulation 60 Unit. Primary responsibilities will include reviewing and approving Regulation 60 paperwork and applications, quality control review steps, inbound call handling and problem resolution, and workflow assignments for the staff. Works to achieve the goals of their team by working both independently and with other team members by overseeing the processing of Regulation 60 disclosures to the sales force.


The Senior Associate applies product knowledge and knowledge of insurance rules and regulations to work on cases and assist with problems and questions within the Regulation 60 Team.  The Senior Associate is also expected to take on a higher workload when work-load increases, provides insight and problem resolution on our more complex cases, and contributes towards the success of team. The Senior Associate will also be responsible for generating weekly and monthly reporting for their CVP department head.


Primary Responsibilities:

  • Process Reg 60 disclosures reviews and certification reviews, quality reviews, and interface with Agency sales force in a deadline driven environment.
  • Assist staff with development of product illustrations and product calculators and provide feedback to staff on correct numerical values and rationale for replacement paperwork once reviewed.     
  • Ensure all relevant and necessary documentation is obtained for each Reg 60 case to ensure accuracy of information in order to maintain high quality levels and resolve any outstanding case deficiencies by notifying field agents or brokers.
  • Field incoming agent inquiries regarding case requirements and communicate regularly with the field and management on the status of escalated cases.  Act as subject matter expert for technical, product and regulatory information as it applies to Regulation 60 functions for all clients. Assist with generating unit reports.
  • Works on special projects to develop the unit and resolves agent disputes and remediation with general offices.  Generate daily reports, conducts general office training, and any given assignments that arise to fulfill business needs.



  • Bachelors degree preferred; High School Diploma or GED required
  • Strong understanding of life insurance and annuity products required
  • 3+ years of Compliance and/or Risk experience strongly preferred, ideally within a Suitability or Regulatory environment
  • FINRA Series 6 or 7 & 63 required
  • Familiarity with New York State's Regulation 60 and 187 processes required
  • Ability to learn and operate daily in information systems, databases, and become proficient in NYL’s workflow systems as related to the role strongly required
  • FINRA Series 26 or 24 preferred
  • Experience in a compliance role or quality assurance role is preferred. Familiarity with workflow systems and responsibilities of our service team.
  • Strong interpersonal skills and customer service experience
  • Must have strong problem-solving skills and analytical ability



Salary range: $65,000-$95,000 

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.


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: 87860



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