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New York Life Insurance Company · 1 month ago

Senior Associate, Agency Standards (Compliance) Manager

Roseville,California,United States

Full-time

Onsite

Entry, Mid Level

$98K/yr - $140K/yr

2+ years exp

New York Life Insurance Company is a longstanding organization focused on providing financial security and peace of mind. The Senior Associate, Agency Standards (Compliance) Manager will oversee compliance and supervisory systems within the General Office, ensuring adherence to regulatory requirements and promoting operational excellence.

FinanceFinancial ServicesInsurance

H1B Sponsor Likely

Responsibilities

Assists the Managing Partner with Agent, Registered Rep and IAR Supervision and executing the Supervisory Systems within the General Office

Conducts Periodic Inspections and Supervisory Interviews with Agents, Registered Reps & IARs and handles all follow-up required

Handles the Seminar Supervision Program

Handles the Enhanced Supervision Programs for Agents and Registered Reps

Handles the Financial Supervision Program for Agents and Registered Reps

Conducts Incoming and Outgoing Correspondence Reviews and Resolution of Red Flag Items

Assists the Managing Partner in recommending and delivering Disciplinary Actions

Serves as the “point person” to field and answer Standards and Compliance related questions from Agents, Registered Reps, IARs and Field Managers

Conducts Site Inspections for General Offices, Sales Offices and Satellite Offices

Assists with Complaint Review Handling and Resolution

Conducts Standard and Compliance Related Training for Agents, Registered Reps, and IARs

Assists with follow up for all agent, Registered Rep and IAR regulatory year-end requirements

Qualification

Series 7Series 24Bachelor’s DegreeSeries 65Series 66ChFCIndustry KnowledgeCompliance TrainingSupervisory SystemsAnalytical SkillsCommunication SkillsSelf-starterTeam PlayerResults-oriented

Required

Bachelor's Degree and/or equivalent experience

Minimum 2 years of industry experience

Comprehensive knowledge of registered and non-registered products

Must have Series 7 & Series 24 (Or obtain Series 24 within 90 days)

Series 65, 66 or ChFC (or obtain within 12 months)

Excellent communication skills (written and verbal)

Strong analytical skills required

Must be a self-starter, results-oriented, a team player and be able to prioritize responsibilities

Preferred

Preferred Series 51 or 53

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)