Compliance Associate, Market Surveillance Unit

Location Designation: Hybrid - 3 days per week
Location: Hybrid. Tuesday to Thursday in the White Plains NY Office with Monday and Friday work at home.
Role Overview:
As part of the Corporate Compliance Department, you will assist in monitoring and evaluating agent sales practices for adherence to state and federal regulations as well as company policies.
The ideal candidate possesses strong critical thinking and data analysis skills, has a foundational understanding of Life Insurance products, annuities, and Securities, and has the ability to organize and communicate findings clearly for a range of audiences.
The associate will have the opportunity to engage with different business partners around the company. The role also includes development and testing of compliance procedures and processes aimed at continuous improvement of sales practice monitoring.
Who We Are:
The Market Surveillance Unit (MSU) is a group of experienced Corporate Compliance professionals who monitor Agent sales practices for compliance with regulatory requirements and company policies/procedures. We have a friendly and accessible culture and provide a unique product to our stakeholders, all to maintain New York Life's reputation of Integrity.
When potential violations are detected, the team is responsible for escalating the activity and working collaboratively with business partners, both in the home office and field offices on appropriate resolutions.
What You'll Do:• 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.
 
What You'll Bring:• 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.
Pay Transparency
Salary Range: $65,000-$92,500
Overtime eligible: Exempt
Discretionary bonus eligible: Yes
Sales bonus eligible: No
Actual base salary will be determined based on several factors but not limited to individual's experience, skills, qualifications, and job location. Additionally, employees are eligible for an annual discretionary bonus. In addition to base salary, employees may also be eligible to participate in an incentive program.
Company Overview
At New York Life, our 180-year legacy of purpose and integrity fuels our future. As we evolve into a more technology-, data-, and AI-enabled organization, we remain grounded in the values that drive lasting impact.
Our diverse business portfolio creates opportunities to make a difference across industries and communities-inviting bold thinking, collaborative problem-solving, and purpose-driven innovation. Here, you'll find the rare balance of long-standing stability and forward momentum, supported by an inclusive team that honors tradition while embracing progress.
As a Fortune 100 mutual company, we offer a place to grow your skills, contribute to meaningful work, and deliver solutions that matter. Your ideas drive what's next, and your growth powers it.
Our Benefits
We provide a full package of benefits for employees - and have unique offerings for a modern workforce, including leave programs, adoption assistance, and student loan repayment programs. Based on feedback from our employees, we continue to refine and add benefits to our offering, so that you can flourish both inside and outside of work.Click hereto discover more about our comprehensive benefit options or visit our NYL Benefits Site.
Our Commitment to Inclusion
At New York Life, fostering an inclusive workplace is fundamental to who we are and how we serve our communities. We have a longstanding commitment to creating an environment where individuals can contribute their best and succeed together. This foundation is rooted in our core values of humanity and integrity, ensuring that every employee feels valued and supported. By embracing a broad range of perspectives and experiences, we achieve greater success and fulfill our promise of providing financial security and peace of mind to families across all communities. Click here to learn more about New York Life's leadership in this space.
Recognized as one of Fortune's World's Most Admired Companies, New York Life is committed to improving local communities through a culture of employee giving and volunteerism, supported by the Foundation. We're proud that due to our mutuality, we operate in the best interests of our policy owners. To learn more about career opportunities at New York Life, please visit the Careers page of www.NewYorkLife.com.
Visit our LinkedIn to see how our employees and agents are leading the industry and impacting communities.
Visit our Newsroom to learn more about how our company is constantly evolving to meet our clients' and employees' needs.
Job Requisition ID: 93605
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