Field Supervision Leader: Regulatory Excellence & Team Coach

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

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