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SENIOR ASSOCIATE, Agency Standards

Company: New York Life
Location: White Plains
Posted on: November 10, 2019

Job Description:

Description A career at New York Life offers many opportunities. To be part of a growing and successful business. To reach your full potential, whatever your specialty. Above all, to make a difference in the world by helping people achieve financial security. It's a career journey you can be proud of, and you'll find plenty of support along the way. Our development programs range from skill-building to management training, and we value our diverse and inclusive workplace where all voices can be heard. 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 service, supported by our Foundation . It all adds up to a rewarding career at a company where doing right by our customers is part of who we are, as a mutual company without outside shareholders. We invite you to bring your talents to New York Life, so we can continue to help families and businesses Be Good At Life. To learn more, please visit LinkedIn , our Newsroom and the Careers page of ******************* . An employee in this position operates as a principal of NYLIFE Securities LLC, New York Life's broker-dealer. To become a principal, the employee must have passed multiple FINRA exams, including the Series 7 and 24 and has been delegated part of the Company's responsibilitiy to supervise its Registered Representatives. This responsibility also carries over to the insurance side, where state insurance departments expect diligent supervision of the agents selling to its residents. This role primarily supervises agent and field manager social media static content, and will contribute as needed in the supervision of communications across multiple modes, including e-mail, social media, and (very shortly) texting, focusing primarily on incoming and internal communications. The principal is accountable to review communications, recognize violations and risks relating both to securities and insurance, provide feedback as appropriate, raise significant flags for investigation, monitor resolution, and ensure appropriate closure. The person in this role also serves in multiple other roles, primarily as the lead in reviewing and risk-assessing new agent candidates that fall into the highest possible risk category, which involves interacting not only with management within the division but also with the Zone Chief Operating Officers. The role also contributes in a support and back-up capacity on functions such as the review and assessment of agent reinstatement candidates; review and assessment of agent fiduciary requests; and administration of the Company's e-mail opt-out process, as well as in investigations. - E-mail Monitoring principal with expanded range of responsibility/influence. - Ongoing support of Enhanced Supervision programs via ad hoc e-mail reviews; - Review of 'top producer' e-mail in anticipation of, and support of, the annual council officership reviews; - ad hoc reviews to support other reviews/investigations or to meet regulatory requests; - support and 'backup' for multiple significant and impactful Standards functions. SF:LI-KV1 EOE M/F/D/V If you have difficulty using or interacting with any portions of this Web site due to incompatibility with an Assistive Technology, if you need the information in an alternative format, or if you have suggestions on how we can make this site more accessible, please contact us at: **************. Nearest Major Market: White Plains Nearest Secondary Market: New York City Job Segment: Social Media, Series 7, Marketing, Finance Requisition #: *********

Keywords: New York Life, Fairfield , SENIOR ASSOCIATE, Agency Standards, Accounting, Auditing , White Plains, Connecticut

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