Senior Associate, Field Supervision Manager
About The Position
As a key member of New York Life’s Agency distribution system, the Senior Associate, Field Supervision Manager assists the Managing Partner in maintaining and executing critical supervisory systems within the General Office. The role directly oversees agents, Registered Representatives, and Investment Advisor Representatives through inspections, compliance training, and supervision programs. It also serves as a primary compliance resource, supporting adherence to regulatory requirements and the firm’s standards. The position is fully onsite at the Charlotte General Office and requires travel to the Greater South Carolina General Office and the Greenville, SC General Office.
Requirements
- Bachelor’s degree and/or equivalent experience.
- At least 2 years of industry experience.
- Comprehensive knowledge of registered and non-registered products.
- Series 7, S63, and Series 24 licenses; Series 24 may be obtained within 90 days.
- Series 65, 66, or ChFC; may be obtained within 12 months.
- Excellent written and verbal communication skills.
- Strong analytical skills.
- Self-starter, results-oriented team player able to prioritize responsibilities.
- FINRA-licensed and/or FINRA Associated Person pre-hire fingerprinting is required.
Nice To Haves
- Series 51 or 53.
Responsibilities
- Assist the Managing Partner with Agent, Registered Representative, and IAR supervision and execution of supervisory systems within the General Office.
- Conduct periodic inspections and supervisory interviews with Agents, Registered Representatives, and IARs, including required follow-up.
- Administer the Seminar Supervision Program.
- Administer Enhanced Supervision Programs for Agents and Registered Representatives.
- Administer the Financial Monitoring Program for Agents and Registered Representatives.
- Conduct incoming and outgoing correspondence reviews and resolve red-flag items.
- Assist the Managing Partner in recommending and delivering disciplinary actions.
- Serve as the point person for Standards and Compliance questions from Agents, Registered Representatives, IARs, and Field Managers.
- Conduct site inspections for General Offices, Sales Offices, and Satellite Offices.
- Assist with complaint review, handling, and resolution.
- Conduct Standards and Compliance-related training for Agents, Registered Representatives, and IARs.
- Assist with follow-up for agent, Registered Representative, and IAR regulatory year-end requirements.
Benefits
- Comprehensive employee benefits package.
- Leave programs.
- Adoption assistance.
- Student loan repayment programs.
- Annual discretionary bonus eligibility.
- May be eligible to participate in an incentive program.
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What This Job Offers
Job Type
Full-time
Career Level
Senior
