Compliance Associate

Join to apply for the Compliance Associate role at New York Life Insurance Company
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Location Designation:
Hybrid – 3 days per week.

Corporate Compliance partners with diverse business units to develop and implement robust compliance programs, fostering integrity and minimizing risk. Collaborate with a dedicated team to craft practical policies, train employees and ensure the company’s actions align with core principles and external regulations. Your contributions help safeguard the company's reputation, empower responsible decision‑making and pave the way for sustainable growth.

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.

• 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 investigations. Additional steps may include contacting clients, developing a training plan, or recommending discipline.
• Engage in special projects or initiatives as needed.

• 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 is a plus.

Salary Range: $64,500–$90,000. Overtime eligible:
Exempt. Discretionary bonus eligible:
Yes. Sales bonus eligible:
No.

Actual base salary will be determined based on several factors, including individual experience, skills, qualifications, and job location. Additionally, employees may be eligible to participate in an incentive program.

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.

We provide a full package of benefits for employees – and have unique offerings for a modern workforce, including leave programs, adoption assistance,…