Compliance Field Operations & Supervision, Corporate Vice President


Date: Jun 6, 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 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.


Role Overview

  • Creating and setting overall written supervisory procedures, requiring strong and detailed knowledge of both Company and industry rules and regulations, the ability to productively lead and interact with both peers and executives within Agency, Corporate Compliance, and the Office of General Counsel, and very strong writing skills.
  • Management, Development, and Organization of key components in a Training Curriculum for Agency Standards Managers, requiring vision, strong and frequent decision-making, leadership, prioritization and time-management skills, as well as the ability to draw in impactful contributors from outside the position's scope of authority.
  • Leadership of the annual creation of Agent and Management Firm Element (industry-required training for all of the Company's field-based registered representatives), also requiring strong industry and Company knowledge, the ability to work across multiple divisional and departmental lines (for example, Agency Training and Corporate Compliance).
  • Manage deployment, tracking, and completion of multiple industry-required field training (Anti-Money Laundering, Cybersecurity, Firm Element), including the imposition of suspensions on agent and field manager non-completers.
  • Ownership of updates and enhancements to agent-facing, Standards-focused training modules, which provide the primary basis on which the Company's 10,000+ agents are trained on compliance-related matters.
  • Support and contribute, when necessary, in other functions across the division, including the evaluation of high-risk Agent Candidates, industry-required Electronic Communications Monitoring, and Social Network static content review processes, serving in a backup capacity in each of these areas.  Periodically contribute to additional as-yet-undefined projects, as needed, potentially including high-profile investigations.
  • Manage overall Cyber-Security for the Agency Standards organization.



  • Bachelor's Degree preferred
  • FINRA Registered Representative and Principal (7 & 24)
  • Minimum of 5-7 years of relevant experience
  • Strong written and verbal communications skills
  • Proficient in PowerPoint
  • Working knowledge of the Agency Field structure and organization, including familiarity with the supervisory infrastructure
  • Strong time management and task prioritization skills 
  • Ability to work in a team environment and be comfortable owning decision-making responsibilities
  • Must be able to effectively interact with individuals across multiple levels and departments in the organization, including ASMs, ZASOs, CCD personnel, attorneys, and others
  • Understanding of a wide range of rules and regulations in both the insurance and securities industries
  • Understanding of a wide range of Agency Standards Manager responsibilities and how best to create training to maximize an ASM's ability to execute the responsibilities efficiently and effectively
  • Ability to communicate well, both verbally and in writing


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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