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New York Life Insurance Company · 9 hours ago

Compliance Associate

White Plains, NY

Full-time

Hybrid

New Grad, Entry Level

$64K/yr - $90K/yr

New York Life Insurance Company is a Fortune 100 mutual company with a legacy of purpose and integrity. The Compliance Associate will assist in monitoring and evaluating agent sales practices to ensure adherence to regulations and company policies, contributing to the company's commitment to integrity and responsible decision-making.

FinanceFinancial ServicesInsurance

H1B Sponsor Likely

Responsibilities

Investigate and assess agent sales practices to detect potential violations of state and federal laws, SEC or FINRA regulations, and/or Company procedures

Learn to analyze and connect data points from various sources, such as company systems, reports, public records, and online resources, to help identify potential trends or risks

Prepare clear and concise reports of findings 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

Engage with Field Management and Home Office supervisory teams to coordinate and assist in resolving sales practice matters identified during our investigations. Additional steps may include contacting clients, developing a training plan, or recommending discipline

Engage in special projects or initiatives as needed

Qualification

Series 7 licenseLife insurance knowledgeData analysis skillsMicrosoft Office SuiteTableau experienceCritical thinkingCommunication skillsOrganizational skillsCollaboration skillsIntegrity

Required

Bachelor's degree preferred

Series 7 license, or ability to obtain within 12 months

Knowledge of life insurance, annuities, and securities products (mutual funds, equities, and managed accounts)

A strong drive for continuous learning and personal growth, while striving for excellence and ongoing professional development

A keen analytical mindset that drives a curious and investigative approach to problem-solving

Develop and deliver clear, concise written content while adjusting the level of detail to the target audience

Ability to collaborate with others and establish working relationships, think and act strategically, and influence key leaders

Highly organized, with the ability to prioritize and manage multiple assignments

Exemplifies exceptional integrity and ethical standards

Proficient with Microsoft Office Suite

Experience with tableau and visually conveying analytical narratives a plus

Benefits

Leave programs

Adoption assistance

Student loan repayment programs

Company

New York Life Insurance Company

For over 180 years, we’ve helped turn your biggest dreams into milestones that last a lifetime.

Founded in 1845

New York, New York, USA

10001+ employees

https://www.newyorklife.com/

H1B Sponsorship

New York Life Insurance Company has a track record of offering H1B sponsorships. Please note that this does not guarantee sponsorship for this specific role. Below presents additional info for your reference. (Data Powered by US Department of Labor)

Distribution of Different Job Fields Receiving Sponsorship

Represents job field similar to this job

Trends of Total Sponsorships

2025 (149)

2024 (99)

2023 (85)

2022 (77)

2021 (48)

2020 (65)