Senior Associate, Field Unit Review Compliance Examiner

New York Life Insurance Company is the largest mutual life insurance company in the United States. Founded in 1845 and headquartered in New York City, New York Life reported 2017 operating earnings of $2.06 billion. Total assets under management at year end 2017, with affiliates, totaled $586 billion.


New York Life holds the highest possible financial strength ratings currently awarded to any life insurer from all four of the major ratings agencies: A.M. Best, A++; Fitch AAA; Moody’s Aaa; Standard & Poor’s AA+ (Source: Individual independent rating agency commentary as of 8/1/17).


Financial strength, integrity and humanity—the values upon which New York Life was founded—have guided the company’s decisions and actions for over 170 years.



General Job Description:


  • Conduct Complaince Examinations in a team setting to ensure that General Offices, Sales Offices, and Zone Offices are operating in accordance with Company rules and Federal and State regulations.
  • Conduct an annual review of New York Life's top producers.
  • Prepare for examinations of General Offices, Sales Offices, Zone Offices, and Detached Agent locations.  Interact with Branch Office Management to identify compliance concerns and areas of improvement.
  • Present findings to Senior Management, and provide written reports detailing areas of improvement in General offices reviewed.
  • Contribute to special projects designed to improve the CCD review process and Field Review prep and program functions.
  • Assume team leadership in selected General Office reviews with limited supervision.


 Required Qualifications:


Certifications/Licenses, Education, Technical/Functional Skill Sets, and Experience that are REQUIRED for this position:

  • Bachelors Degree
  • Audit or compliance experience
  • Working knowledge of Microsoft Word and Excel
  • FINRA Series 7 Registration, or obtain within one year
  • Excellent written and verbal communication skills 
  • Travel: 35 - 40% (Sunday travel required)


Desired Qualifications:


Certifications/Licenses, Education, Technical/Functional Skill Sets, and Experience that are DESIRED for this position.

  • The ideal candidate will have prior Insurance Company or Broker Dealer experience, preferably in Compliance or operations.
  • Must be able to work independently and within a team environment.


Overview of Division/Org. Unit

The Field Review Unit is responsible for conducting reviews of New York Life General Offices,  Zone Offices, and an annual review of New York Life's top producers to ensure compliance with Company, SEC, FINRA, and State Department of Insurance rules and regulations.






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