Compliance Associate

New York Life Insurance Company is a Fortune 100 mutual company with a legacy of purpose and integrity. The Compliance Associate will assist in monitoring and evaluating agent sales practices to ensure adherence to regulations and company policies, contributing to the company's commitment to integrity and responsible decision-making.ResponsibilitiesInvestigate and assess agent sales practices to detect potential violations of state and federal laws, SEC or FINRA regulations, and/or Company proceduresLearn to analyze and connect data points from various sources, such as company systems, reports, public records, and online resources, to help identify potential trends or risksPrepare clear and concise reports of findings for Management that highlight potential regulatory and sales practice concernsInvestigate sales practice alerts from Tableau dashboards and other resources, and initiate inquiries with Field ManagementEngage with Field Management and Home Office supervisory teams to coordinate and assist in resolving sales practice matters identified during our investigations. Additional steps may include contacting clients, developing a training plan, or recommending disciplineEngage in special projects or initiatives as neededSkillsBachelor's degree preferredSeries 7 license, or ability to obtain within 12 monthsKnowledge of life insurance, annuities, and securities products (mutual funds, equities, and managed accounts)A strong drive for continuous learning and personal growth, while striving for excellence and ongoing professional developmentA keen analytical mindset that drives a curious and investigative approach to problem-solvingDevelop and deliver clear, concise written content while adjusting the level of detail to the target audienceAbility to collaborate with others and establish working relationships, think and act strategically, and influence key leadersHighly organized, with the ability to prioritize and manage multiple assignmentsExemplifies exceptional integrity and ethical standardsProficient with Microsoft Office SuiteExperience with tableau and visually conveying analytical narratives a plusBenefitsLeave programsAdoption assistanceStudent loan repayment programsCompany OverviewFor over 180 years, we’ve helped turn your biggest dreams into milestones that last a lifetime. It was founded in 1845, and is headquartered in New York, New York, USA, with a workforce of 10001+ employees. Its website is https://www.newyorklife.com/.Company H1B SponsorshipNew York Life Insurance Company has a track record of offering H1B sponsorships, with 149 in 2025, 99 in 2024, 85 in 2023, 77 in 2022, 48 in 2021, 65 in 2020. Please note that this does not guarantee sponsorship for this specific role.



Apply Now