CORPORATE VICE PRESIDENT, Field Supervision Team Lead (Compliance Manager)

New York Life Insurance Co.; Glendale (CA); On-site; USD 119,000 - 170,000; Full time

Job summary

New York Life Insurance Co. in the United States seeks a Field Supervision & Standards Team Lead to strengthen supervisory practices, promote regulatory compliance, and support operational excellence across the agency distribution system.

You will lead, coach, and develop a team of 5–7 Field Supervision Managers to drive accountability and continuous improvement. This role partners with Zone leadership and Home Office, overseeing SIIs, ASQs, ICFRs, and OSJ matters, with travel to assigned

Qualifications

• Bachelor's degree or equivalent combination of education and relevant professional experience in financial services, supervision, compliance, or a related field.
• FINRA Series 7, 24, 63, and 65 or 66 registrations, with the ability to obtain Series 51 or 53 within one year of hire.
• Strong knowledge of New York Life's supervisory structure, field supervision processes, products, General Office operations, and supporting systems, with the ability to apply supervisory standards and regulatory requirements to complex situations.
• Demonstrated ability to lead, coach, or guide others, establish priorities, manage competing demands, and drive accountability for quality, timeliness, and operational results.
• Strong analytical, problem-solving, and risk assessment capabilities, with sound judgment in identifying supervisory concerns, evaluating information, and recommending appropriate actions.
• Excellent communication, interpersonal, and relationship-building skills, with the ability to collaborate effectively across field and Home Office teams, influence stakeholders, and communicate sensitive or complex matters with professionalism. Willingness and ability to travel to assigned offices as business needs require.

Responsibilities

• Lead and Develop a High-Performing Team: Provide direct leadership, coaching, and performance management for a team of 5–7 Field Supervision Managers. Establish clear expectations, monitor performance, identify development opportunities, and deliver ongoing training to strengthen supervisory capabilities, consistency, and accountability. Support field management training initiatives as needed.
• Drive Supervisory Excellence and Operational Performance: Oversee the timely and accurate completion of Supervisory Interviews (SIIs), Agent Questionnaires (ASQs), Internal Compliance Field Reviews (ICFRs), and other required supervisory activities. Monitor performance against established metrics, including seminar supervision and quarterly supervisory logs, and proactively address gaps. Conduct SIIs and support ancillary agent reviews, including internet searches, as needed to maintain operational effectiveness.
• Strengthen Risk Management and Supervisory Controls: Partner with Zone leadership and Home Office teams to identify, evaluate, and resolve market conduct concerns, supervisory red flags, and other potential risks. Guide disciplinary action reviews, recommendations, and delivery; oversee enhanced supervision programs and financial monitoring processes; and support Field Supervision Managers in resolving Office of Supervisory Jurisdiction (OSJ) matters and ensuring appropriate reporting and escalation.
• Partner with Field Leadership to Support Regulatory Readiness: Collaborate with Zone and General Office leadership to strengthen supervisory practices and maintain readiness for Corporate Compliance Department (CCD) Field Reviews. Guide Field Supervision Managers through review preparation, findings resolution, and closeout activities. Review and approve shared office space and multiple branch office arrangements within assigned areas of responsibility, consistent with applicable supervisory requirements.
• Advance Continuous Improvement and Cross-Functional Collaboration: Evaluate supervisory trends, operational challenges, and team performance to identify opportunities for greater efficiency, consistency, and risk mitigation. Partner with Zone leadership, field management, and Home Office stakeholders to implement practical solutions, share best practices, and strengthen the overall effectiveness of the field supervision program.

Skills

Bachelor's degree

FINRA Series 7

FINRA Series 24

FINRA Series 63

FINRA Series 65

Leadership & coaching

Education

Bachelor's degree or equivalent

Job description

Location

Location Designation: Fully Onsite

Position can be located in the following General Office locations:

• Anaheim, Arizona, Covina Valley, Inland Empire, Las Vegas, Los Angeles, Orange Coast, San Diego, San Fernando Valley, and Southern California

Role Overview

The Field Supervision & Standards Team Lead plays a critical leadership role in strengthening supervisory practices, promoting regulatory compliance, and supporting operational excellence across New York Life's Agency distribution system. In this role, you will lead, coach, and develop a team of approximately 5–7 Field Supervision Managers (FSMs), driving consistent execution of supervisory responsibilities and reinforcing a culture of accountability, sound judgment, and continuous improvement.

Working in close partnership with Zone leadership, General Office management, and Home Office teams, you will oversee key supervisory activities, identify and address potential market conduct risks, and guide the resolution of complex supervisory matters. You will provide leadership and direction on disciplinary actions, enhanced supervision programs, financial monitoring, and regulatory review readiness while ensuring established quality standards and performance objectives are met.

As a trusted partner to field leadership, you will have the opportunity to influence supervisory effectiveness, strengthen team capabilities, and enhance processes that protect the interests of clients, agents, and the company. This role offers a meaningful opportunity to combine people leadership, regulatory expertise, and strategic problem-solving to make a lasting impact across the organization.

What You’ll Do

• Lead and Develop a High-Performing Team: Provide direct leadership, coaching, and performance management for a team of 5–7 Field Supervision Managers. Establish clear expectations, monitor performance, identify development opportunities, and deliver ongoing training to strengthen supervisory capabilities, consistency, and accountability. Support field management training initiatives as needed.
• Drive Supervisory Excellence and Operational Performance: Oversee the timely and accurate completion of Supervisory Interviews (SIIs), Agent Questionnaires (ASQs), Internal Compliance Field Reviews (ICFRs), and other required supervisory activities. Monitor performance against established metrics, including seminar supervision and quarterly supervisory logs, and proactively address gaps. Conduct SIIs and support ancillary agent reviews, including internet searches, as needed to maintain operational effectiveness.
• Strengthen Risk Management and Supervisory Controls: Partner with Zone leadership and Home Office teams to identify, evaluate, and resolve market conduct concerns, supervisory red flags, and other potential risks. Guide disciplinary action reviews, recommendations, and delivery; oversee enhanced supervision programs and financial monitoring processes; and support Field Supervision Managers in resolving Office of Supervisory Jurisdiction (OSJ) matters and ensuring appropriate reporting and escalation.
• Partner with Field Leadership to Support Regulatory Readiness: Collaborate with Zone and General Office leadership to strengthen supervisory practices and maintain readiness for Corporate Compliance Department (CCD) Field Reviews. Guide Field Supervision Managers through review preparation, findings resolution, and closeout activities. Review and approve shared office space and multiple branch office arrangements within assigned areas of responsibility, consistent with applicable supervisory requirements.
• Advance Continuous Improvement and Cross-Functional Collaboration: Evaluate supervisory trends, operational challenges, and team performance to identify opportunities for greater efficiency, consistency, and risk mitigation. Partner with Zone leadership, field management, and Home Office stakeholders to implement practical solutions, share best practices, and strengthen the overall effectiveness of the field supervision program.

What You’ll Bring

Required Skills

• Bachelor's degree or equivalent combination of education and relevant professional experience in financial services, supervision, compliance, or a related field.
• FINRA Series 7, 24, 63, and 65 or 66 registrations, with the ability to obtain Series 51 or 53 within one year of hire.
• Strong knowledge of New York Life's supervisory structure, field supervision processes, products, General Office operations, and supporting systems, with the ability to apply supervisory standards and regulatory requirements to complex situations.
• Demonstrated ability to lead, coach, or guide others, establish priorities, manage competing demands, and drive accountability for quality, timeliness, and operational results.
• Strong analytical, problem-solving, and risk assessment capabilities, with sound judgment in identifying supervisory concerns, evaluating information, and recommending appropriate actions.
• Excellent communication, interpersonal, and relationship-building skills, with the ability to collaborate effectively across field and Home Office teams, influence stakeholders, and communicate sensitive or complex matters with professionalism. Willingness and ability to travel to assigned offices as business needs require.

Preferred Skills

• Prior experience directly managing or developing teams within financial services, compliance, field supervision, or a related function.
• Experience supporting regulatory examinations, internal compliance reviews, disciplinary processes, enhanced supervision programs, or supervisory remediation initiatives.
• Demonstrated success identifying process improvement opportunities, strengthening operational controls, and using performance metrics to improve team effectiveness.

Pay Transparency

Salary Range: $119,000-$170,000

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.

Please note: This role requires FINRA licensed and/or FINRA Associated Person pre-hire fingerprinting.

Company Overview

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.

Our Benefits

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 both inside and outside of work.

Our Commitment to Inclusion

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.

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 Foundation. 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 Careers of www.NewYorkLife.com.