Senior Regulatory Reporting Associate

New York Life Insurance Co.; New York (NY); Hybrid; USD 81,000 - 116,000; Full time

Benefits offered by this job

Hybrid work arrangement

Discretionary bonuses

Job summary

New York Life Insurance Company in New York City seeks an experienced Senior Associate for the Regulatory Review Unit to manage regulatory reporting, disclosure obligations, and regulatory inquiries from FINRA, the SEC, and state regulators.

The role requires thorough analysis of complaints, arbitrations, and regulatory actions; coordination with Compliance and the Office of General Counsel; and timely preparation of filings, extensions, and responses.

Qualifications

• Bachelor’s degree from an accredited college or university.
• Minimum of 5 years of securities regulatory reporting or compliance experience, including evaluation of customer complaints, litigation, arbitration, and related regulatory disclosure obligations.
• Strong working knowledge of Forms U4 and U5, FINRA Rule 4530, and state requirements.
• Ability to analyze complex facts, exercise sound judgment, and develop regulatory reporting recommendations.
• Excellent investigative, organizational, and project management skills; ability to prioritize deadlines.
• Excellent interpersonal, communication, and relationship-building skills.
• Ability to work independently and collaborate with Compliance, GC, business partners, and regulators.
• Ability to synthesize large volumes of information into clear summaries for senior leadership.
• Attention to detail and handling of sensitive information.
• Familiarity with FINRA Gateway and CRD filing systems.
• Advanced proficiency in Microsoft Excel, Word, and PowerPoint.

Responsibilities

• Review customer complaints, arbitrations, civil litigation, regulatory actions, and more to determine reporting obligations.
• Evaluate communications to determine if they are customer complaints and reporting obligations.
• Coordinate and ensure accurate, timely submission of regulatory filings and amendments.
• Prepare and submit quarterly customer complaint filings under FINRA Rule 4530(d).
• Manage regulatory inquiries and examinations, including responses to FINRA Rule 8210 requests.
• Monitor deadlines for inquiry responses and filings; coordinate extensions as needed.
• Work with business units to obtain responsive documents in a timely manner.
• Provide guidance on internal reporting procedures and disclosure obligations.
• Prepare and review reconciliation, management status, and control reports.
• Serve as a resource to team members and support training on reporting procedures.
• Identify regulatory issues, reporting deficiencies, and emerging risks; escalate as needed.

Skills

Regulatory reporting

FINRA Rule 4530

Regulatory filings

Attention to detail

Communication

Microsoft Excel

Education

Bachelor's degree

Tools

FINRA Gateway

CRD filing systems

Microsoft Excel

Job description

New York Life Insurance Company in New York City seeks an experienced Senior Associate for the Regulatory Review Unit to manage regulatory reporting, disclosure obligations, and regulatory inquiries from FINRA, the SEC, and state regulators.

The role requires thorough analysis of complaints, arbitrations, and regulatory actions; coordination with Compliance and the Office of General Counsel; and timely preparation of filings, extensions, and responses.