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Senior Associate, Market Surveillance (Compliance)

Company: New York Life Insurance Company
Location: White Plains
Posted on: December 5, 2019

Job Description:

A career at New York Life offers many opportunities. To be part of a growing and successful business. To reach your full potential, whatever your specialty. Above all, to make a difference in the world by helping people achieve financial security. It's a career journey you can be proud of, and you'll find plenty of support along the way. Our development programs range from skill-building to management training, and we value our diverse and inclusive workplace where all voices can be heard. 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 service, supported by our Foundation. It all adds up to a rewarding career at a company where doing right by our customers is part of who we are, as a mutual company without outside shareholders. We invite you to bring your talents to New York Life, so we can continue to help families and businesses "Be Good At Life." To learn more, please visit LinkedIn, our Newsroom and the Careers page of www.NewYorkLife.com.Market Surveillance Senior Associate - Compliance Role Overview:The Market Surveillance Associate investigates and evaluates agent sales practices to identify patterns orred flags that pose risk to the Company. The individual in this position will analyze various sales andcompliance reports designed to identify sales practice patterns and will coordinate resolution to findingswith field and home office supervisory personnel. Overview of Market Surveillance Unit:The Market Surveillance Unit monitors agent sales practices for compliance with regulatory requirementsand Company policies and procedures. The MSU conducts investigations and evaluations of agentsales practices, and administers the Company's Enhanced Supervision process. Role Responsibilities:Investigate and analyze agent sales practices to detect potential violations of state and federal laws,FINRA rules, and/or Company proceduresAnalyze, connect and explore various data points, using company systems and reports, internetsearches, public records and email searches to identify patterns and trends that present an overallpicture of the agent's risk profilePrepare clear and concise reports of review findings for Management that include recommendationsfor remedial actionInterface with General Office Management and Home Office supervisory management to coordinateand resolve issues identified during the investigationsAssist with the development of surveillance reportsEngage in special projects, initiatives and other activities as needed Requirements:Bachelor's degreeSeries 6 or 7 or other insurance designation required5+ years experience in the insurance/securities industry, preferably in compliance or operationsComprehensive knowledge of registered and non-registered productsSuperior judgment in assessing potential compliance mattersStrong analytical and investigative skillsDecisive and mature with the ability to collaborate and create consensusExcellent verbal and written communication skillsExcellent organizational skills. Ability to manage multiple work items, work independently and followthrough to completionStrong work ethic and attention to detailProficient with Microsoft Office and expertise in Excel #LI -MM1 EOE M/F/D/VIf you have difficulty using or interacting with any portions of this Web site due to incompatibility with an Assistive Technology, if you need the information in an alternative format, or if you have suggestions on how we can make this site more accessible, please contact us at: (212) 576-5811.

Keywords: New York Life Insurance Company, White Plains , Senior Associate, Market Surveillance (Compliance), Other , White Plains, New York

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