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

New York Life Insurance•Glendale, AZ

26d•$119,000 - $170,000•Onsite

About The Position

The Field Supervision & Standards Team Lead provides leadership to strengthen supervisory practices, promote regulatory compliance, and support operational excellence across New York Life’s Agency distribution system. The role leads, coaches, and develops approximately 5–7 Field Supervision Managers (FSMs), setting expectations and reinforcing accountability, sound judgment, consistency, and continuous improvement. Working closely with Zone leadership, General Office management, and Home Office teams, the Team Lead oversees supervisory activities, identifies and addresses potential market conduct risks, and guides resolution of complex matters. The role provides direction on disciplinary actions, enhanced supervision programs, financial monitoring, and regulatory review readiness, while ensuring quality standards and performance objectives are met. The position is fully onsite and may be based at one of the listed General Office locations in Southern California, Arizona, or Las Vegas. Travel to assigned offices is required as business needs require.

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.
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, and 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; ability to collaborate across field and Home Office teams, influence stakeholders, and communicate sensitive or complex matters professionally.
Willingness and ability to travel to assigned offices as business needs require.
Role requires 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 expectations, monitor performance, identify development opportunities, and provide ongoing training.
Support field management training initiatives as needed.
Oversee 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.
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.
Support Field Supervision Managers in resolving Office of Supervisory Jurisdiction 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 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 supervisory requirements.
Evaluate supervisory trends, operational challenges, and team performance to identify opportunities for efficiency, consistency, and risk mitigation.
Partner with Zone leadership, field management, and Home Office stakeholders to implement solutions, share best practices, and improve the field supervision program.