Compliance Associate
New York Life Insurance Company is a Fortune 100 mutual company with a legacy of purpose and integrity. The Compliance Associate will assist in monitoring and evaluating agent sales practices to ensure adherence to regulations and company policies, contributing to the company's commitment to integrity and responsible decision-making.
Responsibilities
- Investigate and assess agent sales practices to detect potential violations of state and federal laws, SEC or FINRA regulations, and/or Company procedures
- Learn to analyze and connect data points from various sources, such as company systems, reports, public records, and online resources, to help identify potential trends or risks
- Prepare clear and concise reports of findings for Management that highlight potential regulatory and sales practice concerns
- Investigate sales practice alerts from Tableau dashboards and other resources, and initiate inquiries with Field Management
- Engage with Field Management and Home Office supervisory teams to coordinate and assist in resolving sales practice matters identified during our investigations. Additional steps may include contacting clients, developing a training plan, or recommending discipline
- Engage in special projects or initiatives as needed
Skills
- Bachelor's degree preferred
- Series 7 license, or ability to obtain within 12 months
- Knowledge of life insurance, annuities, and securities products (mutual funds, equities, and managed accounts)
- A strong drive for continuous learning and personal growth, while striving for excellence and ongoing professional development
- A keen analytical mindset that drives a curious and investigative approach to problem-solving
- Develop and deliver clear, concise written content while adjusting the level of detail to the target audience
- Ability to collaborate with others and establish working relationships, think and act strategically, and influence key leaders
- Highly organized, with the ability to prioritize and manage multiple assignments
- Exemplifies exceptional integrity and ethical standards
- Proficient with Microsoft Office Suite
- Experience with tableau and visually conveying analytical narratives a plus
Benefits
- Leave programs
- Adoption assistance
- Student loan repayment programs
Company Overview
Company H1B Sponsorship