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Senior Associate, Market Surveillance (Compliance)

Company: New York Life
Location: White Plains
Posted on: November 14, 2019

Job Description:

Senior Associate, Market Surveillance (Compliance) Apply Now Start apply with LinkedIn Start Please wait... Date: Oct 10, 2019 Location: White Plains, NY, US Company: New York Life Insurance Co 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 *******************. Market Surveillance Senior Associate - Compliance Role Overview: The Market Surveillance Associate investigates and evaluates agent sales practices to identify patterns or red flags that pose risk to the Company. The individual in this position will analyze various sales and compliance reports designed to identify sales practice patterns and will coordinate resolution to findings with field and home office supervisory personnel. Overview of Market Surveillance Unit: The Market Surveillance Unit monitors agent sales practices for compliance with regulatory requirements and Company policies and procedures. The MSU conducts investigations and evaluations of agent sales 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 procedures Analyze, connect and explore various data points, using company systems and reports, internet searches, public records and email searches to identify patterns and trends that present an overall picture of the agent's risk profile Prepare clear and concise reports of review findings for Management that include recommendations for remedial action Interface with General Office Management and Home Office supervisory management to coordinate and resolve issues identified during the investigations Assist with the development of surveillance reports Engage in special projects, initiatives and other activities as needed Requirements: Bachelor's degree Series 6 or 7 or other insurance designation required 5+ years experience in the insurance/securities industry, preferably in compliance or operations Comprehensive knowledge of registered and non-registered products Superior judgment in assessing potential compliance matters Strong analytical and investigative skills Decisive and mature with the ability to collaborate and create consensus Excellent verbal and written communication skills Excellent organizational skills. Ability to manage multiple work items, work independently and follow through to completion Strong work ethic and attention to detail Proficient with Microsoft Office and expertise in Excel #LI - MM1 EOE M/F/D/V If 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: **************. Nearest Major Market: White Plains Nearest Secondary Market: New York City Job Segment: Outside Sales, Office Manager, Social Media, Sales, Administrative, Marketing Apply Now Start apply with LinkedIn Start Please wait...

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

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