Senior Associate, Agency Standards Compliance Manager
- Bellevue, WA
- $77,500-132,500 per year
- Permanent
- Full-time
- 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
- Bachelor's Degree or equivalent experience
- Minimum 2 years of experience in the insurance industry
- 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
- Series 51 or 53
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. 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 . 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 page of .Job Requisition ID: 92396About NY Life Insurance CompanyDiversity & Humanity–two values that are deeply rooted in the New York Life culture and have laid the foundation for over 175 years of commitment to our employees, agents, policy owners, and the communities where we live and work. At New York Life you become a valued part of a welcoming, inclusive, and caring culture that has a long-standing legacy in stability and growth. The strength of New York Life revolves around our diversified, multi-dimensional business portfolio that goes beyond life insurance, and we want you to be a part of our legacy.As a Fortune 100 company and industry leader, we provide an environment where you can explore your career ambitions, offering opportunities to tackle meaningful challenges and stretch your skills while balancing work and life priorities. You will be part of a diverse team guided by our belief to always be there for each other–providing the support and flexibility to grow and reach new heights while making an impact in the lives of others.You are our future, and we commit to investing in you accordingly.Visit our to see how our employees and agents are leading the industry and impacting communities.Visit our to learn more about how our company is constantly evolving to meet our clients' and employees’ needs.