Senior Associate - Compliance Analyst


Date: Jun 11, 2022

Location: White Plains, NY, US

Company: New York Life Insurance Co



When you join New York Life, you’re joining a company that values career development, collaboration, innovation, and inclusiveness. We want employees to feel proud about being part of a company that is committed to doing the right thing. You’ll have the opportunity to grow your career while developing personally and professionally through various resources and programs. New York Life is a relationship-based company and appreciates how both virtual and in-person interactions support our culture.



Job Description and Responsibilities:

Review, analyze and process the sales material 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 sales material issues.
Apply knowledge of State and Department of Insurance assumed name Filing Requirements to the approval process.
Monitor a centralized inbox and provide timely written response to all inquiries.
Educate and update the Field on specific changes within the compliance industry.
Provide back-up support for processing Outside Business Activity (OBA) submissions received from the Field. 
Process U4 amendments and review reports to ensure accurate FINRA Form U4 processing
Work on special projects related to the job function and assist in the refinement and improvement of procedures/processes




Bachelor’s degree

Series 6 and 26 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


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 the Foundation. We're proud that due to our mutuality, we operate in the best interests of our policy owners. 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

Job Requisition ID: 84087




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

Job Segment: Outside Sales, Social Media, Sales, Marketing