Senior Associate, Market Surveillance

Date: Aug 13, 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


Market Surveillance Senior Associate Compliance


Role Overview:

The Market Surveillance Associate investigates and evaluates agent sales practices to identify patterns or

red flags that pose risk to the Company. The individual in this position will analyze various sales and

compliance reports designed to identify sales practice patterns and will coordinate resolution to findings

with field and home office supervisory personnel.


Overview of Market Surveillance Unit:

The Market Surveillance Unit monitors agent sales practices for compliance with regulatory requirements

and Company policies and procedures. The MSU conducts investigations and evaluations of agent

sales practices, and administers the Company’s Enhanced Supervision process.


Role Responsibilities:

Investigate and analyze agent sales practices to detect potential violations of state and federal laws,

FINRA rules, and/or Company procedures

Analyze, connect and explore various data points, using company systems and reports, internet

searches, public records and email searches to identify patterns and trends that present an overall

picture of the agent’s risk profile

Prepare clear and concise reports of review findings for Management that include recommendations

for remedial action

Interface with General Office Management and Home Office supervisory management to coordinate

and resolve issues identified during the investigations

Assist with the development of surveillance reports

Engage in special projects, initiatives and other activities as needed



Bachelor’s degree

5+ years experience in the insurance/securities industry, preferably in compliance or operations

Comprehensive knowledge of registered and non-registered products

Superior judgment in assessing potential compliance matters

Strong analytical and investigative skills

Decisive and mature with the ability to collaborate and create consensus

Excellent verbal and written communication skills

Excellent organizational skills. Ability to manage multiple work items, work independently and follow

through to completion

Strong work ethic and attention to detail

Series 6 or 7 or other insurance designation required

Proficient with Microsoft Office and expertise in Excel


#LI –MM1



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