Onsite Senior Field Compliance Supervisor

New York Life Insurance Co.; Charlotte (NC); On-site; USD 80,000 - 95,000; Full time

Benefits offered by this job

Full benefits package

Adoption assistance

Student loan repayment programs

Leave programs

Job summary

New York Life Insurance Co. in Charlotte is seeking a supervisory compliance professional to support the Managing Partner in overseeing agents and IARs.

The role includes regular inspections, compliance training, and execution of supervisory systems across the General Office, with travel to SC offices and onsite operations. Ideal candidates will hold FINRA licenses (Series 7, S63, Series 24; Series 65/66 or ChFC within 12 months) and possess strong communication and analytical skills to ensure

Qualifications

• Bachelor’s Degree and/or equivalent experience.
• Minimum 2 years of industry experience.
• Comprehensive knowledge of registered and non-registered products.

Responsibilities

• Assists the Managing Partner with Agent, Registered Rep and IAR Supervision and executing the Supervisory Systems within the General Office
• Conducts Periodic Inspections and Supervisory Interviews with Agents, Registered Reps & IARs and handles all follow-up required
• Handles the Seminar Supervision Program
• Handles the Enhanced Supervision Programs for Agents and Registered Reps
• Handles the Financial Monitoring Program for Agents and Registered Reps
• 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 field and answer Standards and Compliance related questions from Agents, Registered Reps, IARs and Field Managers
• Conducts Site Inspections for General Offices, Sales Offices and Satellite Offices
• Assists with Complaint Review Handling and Resolution
• Conducts Standard and Compliance Related Training for Agents, Registered Reps, and IARs
• Assists with follow up for all agent, Registered Rep and IAR regulatory year-end requirements

Skills

Series 7

S63

Series 24

Series 65

Series 66

ChFC

Communication skills

Analytical skills

Self-starter / Team player

Education

Bachelor’s Degree or equivalent experience

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

Job description

New York Life Insurance Co. in Charlotte is seeking a supervisory compliance professional to support the Managing Partner in overseeing agents and IARs.

The role includes regular inspections, compliance training, and execution of supervisory systems across the General Office, with travel to SC offices and onsite operations. Ideal candidates will hold FINRA licenses (Series 7, S63, Series 24; Series 65/66 or ChFC within 12 months) and possess strong communication and analytical skills to ensure