Senior Associate, Agency Standards; Compliance Manager

Location Designation:
Fully Onsite

Job Title:

Senior Associate, Agency Standards (Compliance Manager)

Dept/Sub Dept:
Field Operations Value Stream/Field Supervision

Location Designation:
Fully Onsite

As a key member of New York Life’s Agency distribution system, you will assist the Managing Partner in maintaining and executing critical supervisory systems within the General Office. This role involves direct oversight of agents, Registered Representatives, and Investment Advisor Representatives through regular inspections, compliance training, and supervision programs. You will also serve as a primary compliance resource, ensuring adherence to regulatory requirements and helping to uphold the firm’s high standards.

Ideal candidates bring a solid foundation of industry knowledge, relevant licenses, and a proactive, detail‑oriented approach to promoting operational excellence and regulatory integrity.

• Assist the Managing Partner with Agent, Registered Rep and IAR supervision and executing the supervisory systems within the General Office.
• Conduct periodic inspections and supervisory interviews with agents, registered reps & IARs and handle all follow‑up required.
• Handle the seminar supervision program.
• Handle the enhanced supervision programs for agents and registered reps.
• Handle the financial supervision program for agents and registered reps.
• Conduct incoming and outgoing correspondence reviews and resolution of red flag items.
• Assist the Managing Partner in recommending and delivering disciplinary actions.
• Serve as the “point person” to field and answer standards and compliance related questions from agents, registered reps, IARs and field managers.
• Conduct site inspections for general offices, sales offices and satellite offices.
• Assist with complaint review handling and resolution.
• Conduct standard and compliance related training for agents, registered reps, and IARs.
• Assist with follow up for all agent, registered rep and IAR regulatory year‑end requirements.

• Bachelor’s degree and/or equivalent experience.
• Minimum 2 years of industry experience.
• 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.

• Preferred Series 51 or 53.

Salary Range: $97,500‑$139,500

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.

Note:

This role requires FINRA licensed and/or FINRA Associated Person pre‑hire fingerprinting.

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, 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…