Compliance Analyst, Senior Associate

  • Competitive
  • Montgomery, AL, USA Montgomery AL US
  • Permanent, Full time
  • New York Life Insurance Company
  • 16 Aug 18 2018-08-16

Compliance Analyst, Senior Associate

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.

This role will support the Montgomery, Mobile and Central Georgia General Office.

Role Overview:
• Review all cases written by assigned agents.
• Review all incoming 3010 logs for assigned agents. Follow-up when necessary.
• Review all out going correspondence and provide to the appropriate department for approval.
• Assist in agent training with regard to compliance/standards rules and regulations, including field observation.
• Work with Management Team to identify and resolve potential red flag items generated locally or through Home Office.
• Work with CCD, General Office and Zone to ensure that all complaints are processed in a timely manner.
• Conduct all follow-up required after annual Supervisory Interview of assigned agents.
• Conduct and document client contact as necessary.
• Ensure all seminar materials are submitted/approved and advance notifications are given to the General Office as required.
• Ensure agent staff is properly trained.

• Bachelor Degree preferred
• Minimum 2 years of industry experience
• Series 7 and 24 required
• Series 51 or 53 (or obtain within 12 months)
• Series 65, 66 or ChFC (or obtain within 6 months)
• Excellent communications skills (written and verbal)
• Strong analytical skills required
• Must be a self-starter, result oriented and a team player


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