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New York Life Insurance Company · 2 days ago
Suitability Compliance Senior Associate
United States
Full-time
Remote
Senior Level
$55K/yr - $107K/yr
3+ years exp
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Insider Connection @New York Life Insurance Company
Responsibilities
Using administrative systems to review annuity, life insurance, and mutual fund transactions for suitability compliance.
Monitoring customer transactions and identifying patterns requiring review by Corporate Compliance.
Providing feedback to team representatives and coaching on improvement opportunities.
Creating and maintaining Life & Annuity and NYLSEC procedures.
Training team members on new suitability processes and rule changes.
Leading projects to improve suitability workflow, compliance, and communications with the Field.
Conducting quality control reviews and call monitoring to strengthen internal control processes.
Qualification
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Required
Bachelor’s degree preferred
Minimum of 3+ years’ experience in the securities industry, with a background in Life, Annuity, and Mutual Funds preferred
FINRA Series 6 and 26 required
Preferred
Series 7 and 24 preferred
Benefits
Discretionary bonus eligible
Company
New York Life Insurance Company
For over 175 years, we've been helping people put love into action.
10,001+ employees
Funding
Current Stage
Late StageLeadership Team
Rohit Katti
CTO & Head of R&D Lab
Don Vu
Senior Vice President, Chief Data & Analytics Officer
Recent News
2024-04-28
2024-04-28
Company data provided by crunchbase
