SENIOR ASSOCIATE, Agency Standards

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Date: Apr 5, 2021

Location: White Plains, NY, US

Company: New York Life Insurance Co

 

When you join New York Life, you’re joining a company that values development, career growth, collaboration, innovation, and diversity & inclusion. We want employees to feel proud about being part of a company that is committed to doing the right thing. Through various resources and programs, you can grow your career while developing personally and professionally.

 

 

An employee in this position operates as a principal of NYLIFE Securities LLC, New York Life's broker-dealer.  To become a principal, the employee must have passed multiple FINRA exams, including the Series 7 and 24 and has been delegated part of the Company's responsibilitiy to supervise its Registered Representatives.  This responsibility also carries over to the insurance side, where state insurance departments expect diligent supervision of the agents selling to its residents. 

 

This role primarily supervises agent and field manager social media static content, and will contribute as needed in the supervision of communications across multiple modes, including e-mail, social media, and (very shortly) texting, focusing primarily on incoming and internal communications.  The principal is accountable to review communications, recognize violations and risks relating both to securities and insurance, provide feedback as appropriate, raise significant flags for investigation, monitor resolution, and ensure appropriate closure.  The person in this role also serves in multiple other roles, primarily as the lead in reviewing and risk-assessing new agent candidates that fall into the highest possible risk category, which involves interacting not only with management within the division but also with the Zone Chief Operating Officers.  The role also contributes in a support and back-up capacity on functions such as the  review and assessment of agent reinstatement candidates; review and assessment of agent fiduciary requests; and administration of the Company's e-mail opt-out process, as well as in investigations.  

 

  1. E-mail Monitoring  principal with expanded range of responsibility/influence.
  2. Ongoing support of Enhanced Supervision programs via ad hoc e-mail reviews;
  3. Review of "top producer" e-mail in anticipation of, and support of, the annual council officership reviews;
  4. ad hoc reviews to support other reviews/investigations or to meet regulatory requests;
  5. support and 'backup' for multiple significant and impactful Standards functions.

 

SF:LI-KV1

 

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 our Foundation. 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 www.NewYorkLife.com.J

Job Requisition ID: 81545

 

 


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

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