Job Information
New York Life Insurance Company Compliance Manager, Agency Standards (Greater Atlanta GO) in Atlanta, Georgia
Location Designation: [[cust_rolelocationdesignation]]
Role Overview:
As a key member of New York Life’s Agency distribution system, you will assist the Managing Partner in maintaining and executing critical supervisory systems within the General Office. This role involves direct oversight of agents, Registered Representatives, and Investment Advisor Representatives through regular inspections, compliance training, and supervision programs. You will also serve as a primary compliance resource, ensuring adherence to regulatory requirements and helping to uphold the firm’s high standards. Ideal candidates bring a solid foundation of industry knowledge, relevant licenses, and a proactive, detail-oriented approach to promoting operational excellence and regulatory integrity.
What You’ll Do :
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 Supervision 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
Required Skills :
Bachelor’s Degree and/or equivalent experience
Minimum 2 years of industry experience
Comprehensive knowledge of registered and non-registered products
Must have Series 7 & Series 24 (Or obtain Series 24 within 90 days)
Series 65, 66 or ChFC (or obtain within 12 months)
Excellent communication skills (written and verbal)
Strong analytical skills required
Must be a self-starter, results-oriented, a team player and be able to prioritize responsibilities
Preferred Skills:
- Preferred Series 51 or 53
Pay Transparency
Salary Range: [[cust_salaryRangePosting]]
Overtime eligible: [[customString6]]
Discretionary bonus eligible: [[cust_merit]]
Sales bonus eligible: [[stockPackage]]
Actual base salary will be determined based on several factors but not limited to individual’s experience, skills, qualifications, and job location. Additionally, employees are eligible for an annual discretionary bonus. In addition to base salary, employees may also be eligible to participate in an incentive program.
Please note : This role requires FINRA licensed and/or FINRA Associated Person pre-hire fingerprinting.
Company Overview
At New York Life, our 180-year legacy of purpose and integrity fuels our future. As we evolve into a more technology-, data-, and AI-enabled organization, we remain grounded in the values that drive lasting impact.
Our diverse business portfolio creates opportunities to make a difference across industries and communities—inviting bold thinking, collaborative problem-solving, and purpose-driven innovation. Here, you’ll find the rare balance of long-standing stability and forward momentum, supported by an inclusive team that honors tradition while embracing progress.
As a Fortune 100 mutual company, we offer a place to grow your skills, contribute to meaningful work, and deliver solutions that matter. Your ideas drive what’s next, and your growth powers it.
Our Benefits
We provide a full package of benefits for employees – and have unique offerings for a modern workforce, including leave programs, adoption assistance, and student loan repayment programs. Based on feedback from our employees, we continue to refine and add benefits to our offering, so that you can flourish both inside and outside of work.Click here (https://performancemanager8.successfactors.com/doc/custom/NYLPRD/6338_0524 HR Talent Acquisition Employee Benefits PDFNYLFINAL.pdf) to discover more about our comprehensive benefit options or visit ourNYL Benefits Site (https://nylbenefits.com/) .
Our Commitment to Inclusion
At New York Life, fostering an inclusive workplace is fundamental to who we are and how we serve our communities. We have a longstanding commitment to creating an environment where individuals can contribute their best and succeed together. This foundation is rooted in our core values of humanity and integrity, ensuring that every employee feels valued and supported. By embracing a broad range of perspectives and experiences, we achieve greater success and fulfill our promise of providing financial security and peace of mind to families across all communities. Click here (https://www.newyorklife.com/newsroom/featured-awards) to learn more about New York Life’s leadership in this space.
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 volunteerism, supported by the Foundation (http://www.newyorklife.com/foundation) . We're proud that due to our mutuality, we operate in the best interests of our policy owners. To learn more about career opportunities at New York Life, please visit theCareers (https://www.newyorklife.com/about/careers/) page of www.NewYorkLife.com .
Visit ourLinkedIn (https://www.linkedin.com/company/newyorklife/mycompany/) to see how our employees and agents are leading the industry and impacting communities.
Visit ourNewsroom (https://www.newyorklife.com/newsroom) to learn more about how our company is constantly evolving to meet our clients' and employees’ needs.
Job Requisition ID: [[id]]
#LI-MC1