Senior Associate, Agency Standards
About The Position
As a Senior Associate within Agency Standards at New York Life, you will serve as a registered Principal responsible for supervising electronic communications and supporting the firm’s regulatory and compliance obligations. This role is primarily focused on electronic communications supervision, which represents approximately 70% of day-to-day responsibilities. You will oversee supervision across email and social media platforms, including Instagram, LinkedIn, and Facebook. You will also support broader supervisory functions, including assisting with complaint investigations, reviewing proposed fiduciary roles for agents and field managers, and managing conflicts of interest. In addition to day-to-day supervision, you will partner across departments on business initiatives, marketing campaigns, and technology enhancements to ensure supervision requirements are effectively integrated and scalable across the organization.
Requirements
- Bachelor’s degree or equivalent experience
- FINRA Series 7 and Series 24 licenses
- Strong analytical, investigative, and problem-solving skills
- Excellent written and verbal communication skills
- Ability to interpret and apply regulatory and compliance standards
- Ability to manage multiple priorities in a fast-paced, regulated environment
Nice To Haves
- Experience in financial services supervision, compliance, or risk management
- Familiarity with electronic communications monitoring tools (e.g., Global Relay or similar platforms)
- Experience reviewing or supervising social media communications in a regulated environment
- Experience supporting process improvements, automation, or workflow enhancements
Responsibilities
- Serve as a registered Principal responsible for supervising electronic communications across email and social media platforms, representing the core focus of the role. Review high volumes of communications, identify regulatory risks, and ensure appropriate escalation and resolution
- Conduct and support investigations into flagged communications and supervisory concerns, ensuring proper documentation and closure
- Analyze supervision data and monitoring trends to identify risks and contribute to preventative solutions
- Monitor and manage alias email functions, including reviewing inbound communications, routing appropriately, and ensuring timely follow-up and documentation
- Assist in administering the NYL Email Opt-Out Program, including tracking, logging, and processing requests while identifying opportunities to improve workflow efficiency
- Partner with Compliance, Marketing, IT, and Field Leadership to align new initiatives, platforms, and campaigns with supervision requirements
- Contribute to ongoing improvements in supervision processes, including system enhancements and workflow optimization
- Support complaint handling efforts, including intake, research, investigation, and resolution; partner with Zones and the Complaint Review Unit to ensure timely and compliant outcomes
- Assist in maintaining and monitoring Family Supervision Plans, ensuring appropriate oversight of disclosed relationships and accurate documentation
- Support Annual Conflicts of Interest Questionnaire reconciliation by reviewing disclosures, identifying potential gaps, and partnering with Zones on follow-up actions
Benefits
- leave programs
- adoption assistance
- student loan repayment programs
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What This Job Offers
Job Type
Full-time
Career Level
Senior
