SENIOR ASSOCIATE, DBA/OBA Compliance Analyst

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.

Job Description and Responsibilities:

Review, analyze and process the Doing Business As (DBA) submissions (Business Card, Letterhead) received from the Agents/General Offices.

Coordinate communications, both verbally and in writing, with Field management and the Agents to resolve identified DBA issues.

Apply knowledge of State and Department of Insurance DBA Filing Requirements to the DBA approval process.

Monitor a centralized DBA inbox and provide timely written response to all inquiries.

Educate and update the Field on specific changes within the industry affecting the DBA process.

Provide back-up support for processing Outside Business Activity (OBA) submissions received from the Field.

Process U4 amendments for both DBA and OBA approvals.

Work on special projects related to DBA/OBA functions and assist in the refinement and improvement of procedures/processes

Review OBA/DBA reports to ensure accurate FINRA Form U4 processing.

Qualifications:

Bachelor’s degree

Series 7 and 24 FINRA licenses

Knowledge of Industry/Regulatory requirements and Compliance experience required.

Strong Organizational Skills-ability to prioritize multiple tasks and follow through to completion in a timely manner.

Excellent communication (written and verbal) and interpersonal skills

Must exercise good business judgment, have keen attention to detail and elevate complex issues when necessary.

Must be self-motivated and able to work independently.

Must be able to work effectively under pressure and with tight guidelines.

Must be objective and professional

Must exhibit excellent customer service & always respond promptly and in a professional manner

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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.

Job Requisition ID: 84087