CORPORATE VICE PRESIDENT, Field Supervision Team Lead (Compliance Manager)

New York Life•Glendale, CA

12h•$119,000 - $170,000•Onsite

About The Position

The Field Supervision & Standards Team Lead plays a critical leadership role in strengthening supervisory practices, promoting regulatory compliance, and supporting operational excellence across New York Life's Agency distribution system. In this role, you will lead, coach, and develop a team of approximately 5–7 Field Supervision Managers (FSMs), driving consistent execution of supervisory responsibilities and reinforcing a culture of accountability, sound judgment, and continuous improvement. Working in close partnership with Zone leadership, General Office management, and Home Office teams, you will oversee key supervisory activities, identify and address potential market conduct risks, and guide the resolution of complex supervisory matters. You will provide leadership and direction on disciplinary actions, enhanced supervision programs, financial monitoring, and regulatory review readiness while ensuring established quality standards and performance objectives are met. As a trusted partner to field leadership, you will have the opportunity to influence supervisory effectiveness, strengthen team capabilities, and enhance processes that protect the interests of clients, agents, and the company. This role offers a meaningful opportunity to combine people leadership, regulatory expertise, and strategic problem-solving to make a lasting impact across the organization.

Requirements

Bachelor's degree or equivalent combination of education and relevant professional experience in financial services, supervision, compliance, or a related field.
FINRA Series 7, 24, 63, and 65 or 66 registrations, with the ability to obtain Series 51 or 53 within one year of hire.
Strong knowledge of New York Life's supervisory structure, field supervision processes, products, General Office operations, and supporting systems, with the ability to apply supervisory standards and regulatory requirements to complex situations.
Demonstrated ability to lead, coach, or guide others, establish priorities, manage competing demands, and drive accountability for quality, timeliness, and operational results.
Strong analytical, problem-solving, and risk assessment capabilities, with sound judgment in identifying supervisory concerns, evaluating information, and recommending appropriate actions.
Excellent communication, interpersonal, and relationship-building skills, with the ability to collaborate effectively across field and Home Office teams, influence stakeholders, and communicate sensitive or complex matters with professionalism.
Willingness and ability to travel to assigned offices as business needs require.
FINRA licensed and/or FINRA Associated Person pre-hire fingerprinting.

Nice To Haves

Prior experience directly managing or developing teams within financial services, compliance, field supervision, or a related function.
Experience supporting regulatory examinations, internal compliance reviews, disciplinary processes, enhanced supervision programs, or supervisory remediation initiatives.
Demonstrated success identifying process improvement opportunities, strengthening operational controls, and using performance metrics to improve team effectiveness.

Responsibilities

Provide direct leadership, coaching, and performance management for a team of 5–7 Field Supervision Managers.
Establish clear expectations, monitor performance, identify development opportunities, and deliver ongoing training to strengthen supervisory capabilities, consistency, and accountability.
Support field management training initiatives as needed.
Oversee the timely and accurate completion of Supervisory Interviews (SIIs), Agent Questionnaires (ASQs), Internal Compliance Field Reviews (ICFRs), and other required supervisory activities.
Monitor performance against established metrics, including seminar supervision and quarterly supervisory logs, and proactively address gaps.
Conduct SIIs and support ancillary agent reviews, including internet searches, as needed to maintain operational effectiveness.
Partner with Zone leadership and Home Office teams to identify, evaluate, and resolve market conduct concerns, supervisory red flags, and other potential risks.
Guide disciplinary action reviews, recommendations, and delivery; oversee enhanced supervision programs and financial monitoring processes; and support Field Supervision Managers in resolving Office of Supervisory Jurisdiction (OSJ) matters and ensuring appropriate reporting and escalation.
Collaborate with Zone and General Office leadership to strengthen supervisory practices and maintain readiness for Corporate Compliance Department (CCD) Field Reviews.
Guide Field Supervision Managers through review preparation, findings resolution, and closeout activities.
Review and approve shared office space and multiple branch office arrangements within assigned areas of responsibility, consistent with applicable supervisory requirements.
Evaluate supervisory trends, operational challenges, and team performance to identify opportunities for greater efficiency, consistency, and risk mitigation.
Partner with Zone leadership, field management, and Home Office stakeholders to implement practical solutions, share best practices, and strengthen the overall effectiveness of the field supervision program.