Compliance, Senior Associate

Date: Jun 10, 2019

Location: Sunrise, FL, 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


New York Life’s primary distribution channel is the career Agency sales force of more than 12,000 agents, operating in virtually every major city in the United States.  Every agent is affiliated with one of our 117 General Offices. These offices are operated by Agency management teams responsible for agent and management recruiting, development, and sales.  Approximately half our agents operate their businesses out of our General Offices, while the other half maintains independent office locations. 


Our General Offices are divided up among four Zones. In addition to our Zone offices, an Agency Home Office team responsible for strategy, finance, administration, standards, training, marketing and communications supports our agents and field managers.  The Agency operation also comprises teams charged with growing our business in key market segments, including the middle-income market, the advanced (high-net-worth) market, select cultural markets, and the women’s markets. Agents sell individual life insurance, individual annuities, and long-term care insurance products, as well as mutual funds.


This role is housed in the South Florida GO


Role Overview

  • Assist Managing Partner in Agent Supervision
  • Complete Unannounced Annual Reviews
  • Review incoming correspondence and handle red flags as appropriate
  • Review outgoing correspondence
  • Conduct Firm Element and Registered Representative Training
  • Maintain Sales Material Review Procedures
  • Train agents on proper file procedures
  • Handle complaints
  • Follow-up and track compliance and supervision operations
  • Handle/maintain registered products
  • Prepare for General Office Reviews



  • Bachelor’s Degree
  • Minimum 2 years of industry experience
  • Comprehensive knowledge of registered and non-registered products
  • Must have Series 7 & Series 24
  • Preferred Series 51 or 53 (or obtain with 12 mpnths)
  • Series 65, 66 or ChFC (or obtain within 6 months)
  • Excellent communication skills (written and verbal)
  • Strong analytical skills required
  • Must be a self-starter, results-oriented, a team player and be able to prioritize responsibilities



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Nearest Major Market: Fort Lauderdale
Nearest Secondary Market: Miami

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