Onsite Compliance & Supervisory Lead

New York Life Insurance Co; Washington (District of Columbia); On-site; USD 90,000 - 129,000; Full time

Benefits offered by this job

HYBRID

Job summary

New York Life Insurance Co is seeking a supervising compliance partner to support the Managing Partner in overseeing supervisory systems for an Investment Advisor in a General Office setting. The role focuses on inspections, training, and conflict review to promote regulatory integrity.

Ideal candidates bring Series 7 & 24, Series 65/66 or ChFC, a Bachelor’s degree, and at least two years of industry experience. Hybrid/onsite work, strong communication, and analytical skills are essential.

Qualifications

• 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.
• 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 able to prioritize responsibilities.

Responsibilities

• Assists the Managing Partner with Agent, Registered Rep, and IAR supervision and execution of Supervisory Systems within the General Office, with primary concentration on a specific IAR and additional support provided as needed.
• Conduct Periodic Inspections and Supervisory Interviews.
• Handles the Seminar Supervision Program.
• Handles the Enhanced Supervision Program.
• Handles the Financial Supervision Program for Agents and Registered Reps, as needed.
• Conducts Incoming and Outgoing Correspondence Reviews and resolution of red flag items.
• Assists the Managing Partner in recommending and delivering disciplinary actions.
• Serves as the 'point person' to answer Standards and Compliance related questions.
• Conducts Site Inspections for General Offices, Sales Offices, and Satellite Offices, as needed.
• Assists with complaint review, handling, and resolution.
• Conducts Standards and Compliance related training.
• Assists with follow-up for regulatory year-end requirements.

Skills

Excellent communication

Strong analytical

Self-starter

Team player

Prioritize responsibilities

Education

Bachelor's Degree or equivalent experience

Minimum 2 years of industry experience

Series 7 & Series 24

Series 65/66 or ChFC (or obtain within 12 months)

Job description

New York Life Insurance Co is seeking a supervising compliance partner to support the Managing Partner in overseeing supervisory systems for an Investment Advisor in a General Office setting. The role focuses on inspections, training, and conflict review to promote regulatory integrity.

Ideal candidates bring Series 7 & 24, Series 65/66 or ChFC, a Bachelor’s degree, and at least two years of industry experience. Hybrid/onsite work, strong communication, and analytical skills are essential.