Compliance Analyst, Agency Standards


Date: Jan 11, 2019

Location: White Plains, NY, 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 maintain independent office locations. 


Our General Offices are divided up among four Zones. In addition to our Zone offices, an Agency Home Office team is responsible for strategy, finance, administration, standards, training, marketing and communications support of 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 market. Our Agents/Registered Representatives sell individual life insurance, individual annuities, and long-term care insurance products, as well as mutual funds.



  • Day-to-day administration of new disciplinary recommendations (receipt, entry into web-based administration system, request and receipt of relevant statements and recommendations, preparation of twice-weekly reports for review/approval within Agency Standards, production of bi-weekly reports to the Zones and monthly report to the VP of all pending disciplinary actions).
  • Review of email communications of all agents who are subject to Enhanced Supervision. This include flagging, escalating of emails of concern, communicating the findings, ensuring appropriate actions are taken, resolving the issues and documenting the steps taken.
  • Tracking of the field’s reporting on Enhanced Supervision programs to ensure the reports are on time and in good order. This role requires the reports are timely reviewed and referred to our Corporate Compliance Department. The role also requires that issues are flagged for any required follow-up and possible disciplinary action.  
  • Review of Council qualification data for annual updates to our Select Agent program.
  • Organization and participation in periodic meetings with Zone Standards teams to facilitate timely receipt of required recommendations and delivery of actions.
  • Preparation and analysis of periodic reports to assess trends and pinpoint areas of possible concern or necessary focus.
  • Participation in reviews and investigations which typically arise from the underlying facts of disciplinary action referrals.



  • Bachelor’s Degree preferred
  • Minimum of 3-5 years of relevant experience.
  • Must have FINRA Series 7 & 24 or obtain within 12 months.
  • Familiarity with Company products and sales practice requirements/expectations a strong plus.
  • Experience in compliance/supervisory areas a strong plus.
  • Competence with web-based systems a strong plus.
  • Strong organizational, time management and attention to detail skills are critical.
  • Excellent written and communication skills.
  • Ability to collaborate and work well on a team and with external areas.
  • Strong technical skills (Word, Access, Excel, PowerPoint).



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




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Nearest Major Market: White Plains
Nearest Secondary Market: New York City

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