Surveillance Analyst, Corporate Compliance

New York Life Insurance•White Plains, NY

1d•Hybrid

About The Position

As part of New York Life’s Corporate Compliance Department, the Surveillance Analyst assists in monitoring and evaluating agent sales practices for compliance with state and federal regulations and company policies. The role involves investigating potential concerns, analyzing information from multiple sources, communicating findings to management, and working with business partners to resolve identified matters. The associate also helps develop and test compliance procedures and processes to continuously improve sales practice monitoring. The position is hybrid, with work in the White Plains, New York office Tuesday through Thursday and work from home Monday and Friday.

Requirements

Series 7 license, or ability to obtain it within 12 months.
Knowledge of life insurance, annuities, and securities products, including mutual funds, equities, and managed accounts.
Strong analytical, critical-thinking, curious, and investigative problem-solving skills.
Ability to write clear, concise content and adjust the level of detail for the intended audience.
Ability to collaborate, establish working relationships, think and act strategically, and influence key leaders.
Strong organization and ability to prioritize and manage multiple assignments.
Exceptional integrity and ethical standards.
Proficiency with Microsoft Office Suite.

Nice To Haves

Bachelor’s degree.
Experience with Tableau and visually conveying analytical narratives.

Responsibilities

Investigate and assess agent sales practices to identify potential violations of state and federal laws, SEC or FINRA regulations, and company procedures.
Analyze and connect data from company systems, reports, public records, and online resources to identify potential trends or risks.
Prepare clear, concise reports for management that highlight potential regulatory and sales practice concerns.
Investigate sales practice alerts from Tableau dashboards and other resources, and initiate inquiries with Field Management.
Work with Field Management and Home Office supervisory teams to coordinate and assist with resolving sales practice matters.
As appropriate, contact clients, develop training plans, or recommend discipline as part of resolving matters.
Contribute to special projects and initiatives as needed.
Help develop and test compliance procedures and processes to improve sales practice monitoring.