Surveillance Analyst, Corporate Compliance

New York Life•White Plains, NY

1d•$65,000 - $92,500•Hybrid

About The Position

As part of New York Life’s Corporate Compliance Department and Market Surveillance Unit, the Associate, Compliance - Surveillance Analyst helps monitor and evaluate agent sales practices for compliance with state and federal regulations, SEC or FINRA requirements, and company policies and procedures. The role involves investigating potential violations, analyzing information from company systems, reports, public records, and online resources, and preparing concise reports for management. The analyst works with Field Management and Home Office supervisory teams to investigate and resolve sales-practice concerns. Resolution steps may include contacting clients, developing a training plan, or recommending discipline. The role also involves developing and testing compliance procedures and processes, participating in special projects, and collaborating with business partners across the company. The position is hybrid, with work in the White Plains, New York office Tuesday through Thursday and work from home Monday and Friday.

Requirements

Series 7 license, or ability to obtain it within 12 months.
Knowledge of life insurance, annuities, and securities products, including mutual funds, equities, and managed accounts.
Strong analytical and critical-thinking skills and a curious, investigative approach to problem-solving.
Ability to write clear, concise content and adjust the level of detail to the audience.
Ability to collaborate, establish working relationships, think and act strategically, and influence key leaders.
Strong organization and ability to prioritize and manage multiple assignments.
Exceptional integrity and ethical standards.
Proficiency with Microsoft Office Suite.

Nice To Haves

Bachelor’s degree.
Experience with Tableau and visually conveying analytical narratives.

Responsibilities

Investigate and assess agent sales practices to detect potential violations of state and federal laws, SEC or FINRA regulations, and company procedures.
Analyze and connect data from company systems, reports, public records, and online resources to identify potential trends or risks.
Prepare clear, concise reports 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.
Work with Field Management and Home Office supervisory teams to coordinate and help resolve matters identified during investigations.
As part of resolving sales-practice matters, potentially contact clients, develop a training plan, or recommend discipline.
Engage in special projects or initiatives as needed.
Develop and test compliance procedures and processes to continuously improve sales-practice monitoring.