Senior Associate, Field Supervision Manager

New York Life Insurance•Charlotte, NC

7d•Onsite

About The Position

The Senior Associate, Field Supervision Manager (Compliance Manager) supports the Managing Partner in maintaining and executing supervisory systems within New York Life’s Agency distribution system. The role provides direct oversight of agents, Registered Representatives, and Investment Advisor Representatives through inspections, interviews, compliance training, and supervision programs. It also serves as a primary resource for standards and compliance questions and helps ensure adherence to regulatory requirements. The position is fully onsite at the Charlotte General Office and requires travel to the Greater South Carolina General Office and the Greenville, South Carolina General Office. It is exempt and eligible for an annual discretionary bonus; employees may also be eligible to participate in an incentive program. The role requires FINRA-licensed and/or FINRA Associated Person pre-hire fingerprinting.

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, Series 63, and Series 24 licenses; candidates without Series 24 must obtain it within 90 days.
Series 65, Series 66, or ChFC; candidates must obtain the applicable qualification within 12 months if not already held.
Excellent written and verbal communication skills.
Strong analytical skills.
Self-starter who is results-oriented, works well as part of a team, and can prioritize responsibilities.
FINRA-licensed and/or FINRA Associated Person pre-hire fingerprinting is required.

Nice To Haves

Series 51 or Series 53.

Responsibilities

Assist the Managing Partner with supervision of Agents, Registered Representatives, and Investment Advisor Representatives and execution of supervisory systems within the General Office.
Conduct periodic inspections and supervisory interviews with Agents, Registered Representatives, and Investment Advisor Representatives, including required follow-up.
Handle the Seminar Supervision Program.
Handle enhanced supervision programs for Agents and Registered Representatives.
Handle 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, Investment Advisor Representatives, 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 Investment Advisor Representatives.
Assist with follow-up for agent, Registered Representative, and Investment Advisor Representative regulatory year-end requirements.