Senior Associate - Agency Standards Manager
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, with primary oversight responsibility for one designated Investment Advisor and additional support provided to the General Office as needed and as time allows. This role involves direct oversight through regular inspections, compliance training, correspondence review, 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 and/or equivalent experience
- Minimum 2 years of industry experience
- Comprehensive knowledge of registered and non-registered products
- Must have Series 7 & Series 24
- 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 able to prioritize responsibilities
Nice To Haves
- Preferred Series 51 or 53
Responsibilities
- Assists the Managing Partner with Agent, Registered Rep, and IAR supervision and execution of Supervisory Systems within the General Office, with primary concentration on a specific IAR and additional support provided as needed
- Conduct Periodic Inspections and Supervisory Interviews
- Handles the Seminar Supervision Program
- Handles the Enhanced Supervision Program
- Handles the Financial Supervision Program for Agents and Registered Reps, as needed
- 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 answer Standards and Compliance related questions
- Conducts Site Inspections for General Offices, Sales Offices, and Satellite Offices, as needed
- Assists with complaint review, handling, and resolution
- Conducts Standards and Compliance related training
- Assists with follow-up for regulatory year-end requirements
Benefits
- We provide a full package of benefits for employees – and have unique offerings for a modern workforce, including leave programs, adoption assistance, and student loan repayment programs.
- Based on feedback from our employees, we continue to refine and add benefits to our offering, so that you can flourish both inside and outside of work.
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
