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The Role
Perform principal-level reviews of new business and in-force securities, mutual fund, annuity, and life transactions; conduct surveillance, escalate and investigate exceptions; maintain supervisory procedures; train staff; support regulatory exams and control improvements using surveillance tools and workflow automation.
Summary Generated by Built In
Job Requisition ID: 94330
Location Designation: Hybrid - 1 day per quarter
Role Overview:
The Suitability Team is responsible for the timely review of new and replacement sales-as well as certain inforce transactions-for mutual funds, annuities, and life insurance. Our goal is to ensure alignment with New York Life's suitability and replacement guidelines while supporting a strong culture of regulatory compliance and client-first recommendations.
As the organization continues to enhance its wealth management and supervisory capabilities, this role will leverage technology-enabled review processes, surveillance tools, workflow automation, and data-driven insights to strengthen risk identification and transaction oversight. The team partners closely with Compliance, Supervision, Operations, and Technology stakeholders to improve monitoring capabilities, enhance operational efficiency, and support evolving regulatory requirements.
The Team also serves as a key resource to Registered Representatives, Field Agents, and business partners by providing guidance on suitability requirements, transaction reviews, supervisory expectations, and regulatory obligations.
What You'll Do:
• Using NYLSEC suitability systems and related administrative systems, review new business submissions, in-force transactions, and account activity to ensure compliance with applicable regulatory requirements, firm policies, and supervisory procedures.
• Conduct transaction reviews and surveillance activities to identify potentially unusual, suspicious, or non-compliant activity. Escalate matters as appropriate and assist in investigations and resolution efforts.
• Perform principal-level review and approval of designated securities transactions and new business activities in accordance with FINRA, SEC, and firm supervisory requirements.
• Monitor customer transactions and representative activity for patterns, trends, or exceptions requiring heightened review by Compliance, Supervision, or Risk Management.
• Provide guidance and support to registered representatives, field supervision, and business partners regarding transaction processing requirements, supervisory expectations, and regulatory obligations.
• Review and analyze pend reports, surveillance alerts, and other supervisory monitoring tools to identify risks and recommend appropriate corrective actions.
• Provide feedback to team members regarding transaction reviews, surveillance findings, and case documentation. Identify coaching opportunities and recommend training based on observed trends.
• Create, maintain, and enhance NYLSEC supervisory procedures, transaction review processes, surveillance protocols, and related compliance documentation.
• Train team members and business partners on new regulatory requirements, supervisory procedures, trade surveillance processes, and operational controls.
• Advance team objectives by leading or participating in projects that strengthen supervisory controls, improve operational efficiency, enhance surveillance capabilities, and support regulatory compliance initiatives.
• Partner with Compliance, Operations, Supervision, and Technology teams to develop and implement process improvements, surveillance enhancements, and regulatory change management initiatives.
• Conduct quality control reviews to evaluate adherence to supervisory procedures, ensure consistency of reviews, and strengthen the team's overall control environment.
• Assist with regulatory examinations, internal audits, compliance testing activities, and responses to inquiries related to transaction review and trade surveillance functions.
What You'll Bring:
• Bachelor's degree preferred.
• 3+ years' experience in the securities industry, preferably involving Mutual Funds, Annuity, and Life products.
• Active FINRA Series 6 and 26 required.
• FINRA Series 7 and 24 preferred.
• Strong written and verbal communication skills.
• Detail-oriented with excellent judgment and investigative skills.
#LI - EM1
#LI - REMOTE
Job Level: LEVELPF3
Pay Transparency
Salary Range: $81,000-$115,500
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.
Please note: This role requires FINRA licensed and/or FINRA Associated Person pre-hire fingerprinting.
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.
Job Requisition ID: 94330
#BI-Hybrid
Location Designation: Hybrid - 1 day per quarter
Role Overview:
The Suitability Team is responsible for the timely review of new and replacement sales-as well as certain inforce transactions-for mutual funds, annuities, and life insurance. Our goal is to ensure alignment with New York Life's suitability and replacement guidelines while supporting a strong culture of regulatory compliance and client-first recommendations.
As the organization continues to enhance its wealth management and supervisory capabilities, this role will leverage technology-enabled review processes, surveillance tools, workflow automation, and data-driven insights to strengthen risk identification and transaction oversight. The team partners closely with Compliance, Supervision, Operations, and Technology stakeholders to improve monitoring capabilities, enhance operational efficiency, and support evolving regulatory requirements.
The Team also serves as a key resource to Registered Representatives, Field Agents, and business partners by providing guidance on suitability requirements, transaction reviews, supervisory expectations, and regulatory obligations.
What You'll Do:
• Using NYLSEC suitability systems and related administrative systems, review new business submissions, in-force transactions, and account activity to ensure compliance with applicable regulatory requirements, firm policies, and supervisory procedures.
• Conduct transaction reviews and surveillance activities to identify potentially unusual, suspicious, or non-compliant activity. Escalate matters as appropriate and assist in investigations and resolution efforts.
• Perform principal-level review and approval of designated securities transactions and new business activities in accordance with FINRA, SEC, and firm supervisory requirements.
• Monitor customer transactions and representative activity for patterns, trends, or exceptions requiring heightened review by Compliance, Supervision, or Risk Management.
• Provide guidance and support to registered representatives, field supervision, and business partners regarding transaction processing requirements, supervisory expectations, and regulatory obligations.
• Review and analyze pend reports, surveillance alerts, and other supervisory monitoring tools to identify risks and recommend appropriate corrective actions.
• Provide feedback to team members regarding transaction reviews, surveillance findings, and case documentation. Identify coaching opportunities and recommend training based on observed trends.
• Create, maintain, and enhance NYLSEC supervisory procedures, transaction review processes, surveillance protocols, and related compliance documentation.
• Train team members and business partners on new regulatory requirements, supervisory procedures, trade surveillance processes, and operational controls.
• Advance team objectives by leading or participating in projects that strengthen supervisory controls, improve operational efficiency, enhance surveillance capabilities, and support regulatory compliance initiatives.
• Partner with Compliance, Operations, Supervision, and Technology teams to develop and implement process improvements, surveillance enhancements, and regulatory change management initiatives.
• Conduct quality control reviews to evaluate adherence to supervisory procedures, ensure consistency of reviews, and strengthen the team's overall control environment.
• Assist with regulatory examinations, internal audits, compliance testing activities, and responses to inquiries related to transaction review and trade surveillance functions.
What You'll Bring:
• Bachelor's degree preferred.
• 3+ years' experience in the securities industry, preferably involving Mutual Funds, Annuity, and Life products.
• Active FINRA Series 6 and 26 required.
• FINRA Series 7 and 24 preferred.
• Strong written and verbal communication skills.
• Detail-oriented with excellent judgment and investigative skills.
#LI - EM1
#LI - REMOTE
Job Level: LEVELPF3
Pay Transparency
Salary Range: $81,000-$115,500
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.
Please note: This role requires FINRA licensed and/or FINRA Associated Person pre-hire fingerprinting.
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.
Job Requisition ID: 94330
#BI-Hybrid
Skills Required
- 3+ years' experience in the securities industry, preferably with Mutual Funds, Annuity, and Life products.
- Active FINRA Series 6 and 26 licenses
- FINRA Series 7 and 24 licenses
- Bachelor's degree
- Strong written and verbal communication skills
- Detail-oriented with excellent judgment and investigative skills
- Pre-hire FINRA associated person fingerprinting
What the Team is Saying
Tyrone
Corporate Vice President, Employee Experience
Emma
Director, Tech, Data, AI, Ventures (TDAV)
Deepa
Chief Information Officer
Patricia
Corporate Vice President, Enterprise Technology Services
Joel
Senior Vice President, Founder & Head of New York Life Ventures
Nishit
Corporate Vice President, AI & Data Architect
New York Life Insurance Company Compensation & Benefits Highlights
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Retirement Support — The package includes both a 401(k) with company match and, for many roles, a defined‑benefit pension, with day‑one vesting on the match highlighted for corporate employees. Financial professionals who qualify may also access a defined‑benefit plan and a 401(k).
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Parental & Family Support — Fertility support, adoption assistance, backup childcare, and free 24/7 online tutoring complement expanded Paid New Parent benefits that provide time off for all parents, with additional paid weeks typically available for birthing parents via short‑term disability. EAP resources and paid time off (including bereavement and volunteer time) further reinforce family support.
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Healthcare Strength — Medical, dental, and vision plans are augmented by a company‑funded HRA option with wellness earn‑ups and FSAs for health and dependent care. Wellness resources and commuter benefits add practical support to everyday wellbeing.
New York Life Insurance Company Insights
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The Company
What We Do
At New York Life, our 180-year legacy of integrity, mutuality, and financial strength fuels a future defined by bold transformation. As the largest mutual life insurance company in the U.S., we operate on behalf of our policy owners—not shareholders. That structure allows us to take a long-term view, investing in people, purpose, and innovation that endures. Guided by a clear enterprise vision to become a technology-, data-, and AI-powered company, we’re modernizing our platforms, rearchitecting experiences, and embedding intelligence across our products and services. Our mission has always been about helping people through life’s most meaningful moments. Today, technology is amplifying that mission—enabling us to serve clients, advisors, and communities in more personalized, proactive ways. With a diversified business portfolio spanning insurance, investments, retirement, group benefits, and direct-to-consumer offerings, New York Life delivers the stability of a Fortune 100 company with the agility of one that’s continuously evolving. We’re powered by a values-led culture, inclusive teams, and a shared belief that when our people thrive, so does our company. Here, tradition fuels momentum—and your ideas, energy, and growth power what’s next.
Why Work With Us
New York Life is transforming from the inside out—blending 180 years of trust with the velocity of innovation. What makes us different is our culture: grounded in integrity, humanity, and shared success—values that show up in how we work, lead, and grow. If you want a place where innovation has purpose—build what's next with us.
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About our Teams
New York Life Insurance Company Offices
Hybrid Workspace
Employees engage in a combination of remote and on-site work.
Typical time on-site:
Not Specified
