Senior Associate, Agency Standards Compliance Manager

New York Life • Seattle, WA

132d • $77,500 - $132,500

About The Position

As a key member of New York Life's Agency distribution system, you will assist the Managing Partner in maintaining and executing critical supervisory systems within the General Office. This role involves direct oversight of agents, Registered Representatives, and Investment Advisor Representatives through regular inspections, compliance training, and supervision programs. You will also serve as a primary compliance resource, ensuring adherence to regulatory requirements and helping to uphold the firm's high standards. Ideal candidates bring a solid foundation of industry knowledge, relevant licenses, and a proactive, detail-oriented approach to promoting operational excellence and regulatory integrity.

Requirements

• Bachelor's Degree or equivalent experience
• Minimum 2 years of experience in the insurance industry
• Comprehensive knowledge of registered and non-registered products
• Must have Series 7 & Series 24 (Or obtain Series 24 within 90 days)
• Series 65, 66 or ChFC (or obtain within 12 months)
• Excellent communication skills (written and verbal)
• Strong analytical skills required
• Must be a self-starter, results-oriented, a team player and be able to prioritize responsibilities

Nice To Haves

• Series 51 or 53

Responsibilities

• Assists the Managing Partner with Agent, Registered Rep and IAR Supervision and executing the Supervisory Systems within the General Office
• Conducts Periodic Inspections and Supervisory Interviews with Agents, Registered Reps & IARs and handles all follow-up required
• Handles the Seminar Supervision Program
• Handles the Enhanced Supervision Programs for Agents and Registered Reps
• Handles the Financial Supervision Program for Agents and Registered Reps
• Conducts Incoming and Outgoing Correspondence Reviews and Resolution of Red Flag Items
• Assists the Managing Partner in recommending and delivering Disciplinary Actions
• Serves as the 'point person' to field and answer Standards and Compliance related questions from Agents, Registered Reps, IARs and Field Managers
• Conducts Site Inspections for General Offices, Sales Offices and Satellite Offices
• Assists with Complaint Review Handling and Resolution
• Conducts Standard and Compliance Related Training for Agents, Registered Reps, and IARs
• Assists with follow up for all agent, Registered Rep and IAR regulatory year-end requirements

Benefits

• Full package of benefits for employees
• Leave programs
• Adoption assistance
• Student loan repayment programs
• Annual discretionary bonus eligibility
• Incentive program participation eligibility

What This Job Offers

• Job Type: Full-time
• Industry: Insurance Carriers and Related Activities
• Education Level: Bachelor's degree