Senior Vice President of Corporate Compliance

1 week ago

New York, New York, United States New York Life Insurance Company Full time
CORPORATE VICE PRESIDENT

At New York Life Insurance Company, we are dedicated to fostering an environment that emphasizes professional growth, teamwork, innovation, and inclusivity. We take pride in our commitment to ethical practices and aim to cultivate a workplace where employees feel valued and empowered. You will have the chance to advance your career while engaging in personal and professional development through a variety of resources and programs.

The primary duties of this role encompass serving as the Product Compliance Team Lead, overseeing all facets of the team's responsibilities concerning New Business Forms. This includes the development of applications and related forms, regulatory submissions, systems implementation, and ongoing compliance oversight. The position collaborates closely with the Retail Life, Long-Term Care insurance, and Individual Disability Income insurance product lines. You will work directly with the Product Development teams and Purchase Experience Value Stream teams to facilitate new business initiatives and ensure compliance.

In this capacity, the individual will engage with representatives from various Product areas (Life, Long-Term Care Insurance, Individual Disability Income Insurance), Legal, Compliance, Government Affairs, Purchase Experience teams, and several Technology teams within the organization. Key responsibilities include representing the Product Compliance Team in all relevant new business meetings, preparing applications, supplements, disclosures, and other necessary forms for submission to regulatory bodies and state insurance departments, as well as ensuring ongoing compliance of new business forms. The individual will also lead a team responsible for preparing electronic regulatory filings via the SERFF electronic filing platform, monitoring and tracking all correspondence, and responding to inquiries from regulators. This role involves providing essential forms to various new business workstreams throughout the organization for implementation and collaborating with external vendors for typesetting, printing, uploading, and storage of forms as required. The individual will standardize the new business form compliance process across supported products and develop and maintain policies and procedures for the team.

Qualifications:

  • Bachelor's Degree required
  • Minimum 5-10 years of relevant experience
  • Proficiency in Microsoft Office, Excel, and Adobe is essential. Strong analytical skills, excellent research capabilities, and the ability to manage multiple tasks effectively are required.
  • Familiarity with the SERFF filing system is preferred. Experience working with state regulators is advantageous.
  • A minimum of 5 years of prior experience in a similar product insurance compliance role is necessary.
  • Experience collaborating with cross-functional teams to implement and launch projects is essential.
  • Strong analytical skills and sound judgment in identifying and addressing compliance risks in the drafting, filing, and implementation of new business forms are crucial.
  • Excellent organizational skills, with the ability to manage multiple projects and collaborate effectively with others to ensure completion.
  • Ability to establish collaborative relationships, think strategically, and influence others to resolve complex compliance issues.
  • Capability to make decisions impacting compliance issues after consulting with key stakeholders.
  • Exceptional written and verbal communication skills, with the ability to tailor messages for different audiences. Communication skills should include the ability to negotiate with regulators regarding form filings.

Salary range: $117,500-$175,000

Discretionary bonus eligible: Yes

For more information about our benefits, please refer to our resources. The starting salary is contingent upon various factors, including prior work experience, specific industry expertise, and required skills.

Please note: This role requires FINRA licensing and/or FINRA Associated Person pre-hire fingerprinting.

Recognized as one of Fortune's World's Most Admired Companies, New York Life is dedicated to enhancing local communities through a culture of employee giving and volunteerism, supported by the Foundation. Our mutuality allows us to operate in the best interests of our policy owners. We invite you to contribute your talents to New York Life, as we continue to assist families and businesses in achieving their goals.

About NY Life Insurance Company

At New York Life, we uphold Diversity & Humanity as core values that have shaped our culture for over 175 years, reflecting our commitment to employees, agents, policy owners, and the communities we serve. You will become an integral part of a welcoming, inclusive, and caring culture that has a long-standing legacy of stability and growth. Our strength lies in our diversified, multi-dimensional business portfolio that extends beyond life insurance, and we welcome you to be part of our legacy.

As a Fortune 100 company and industry leader, we provide an environment where you can pursue your career aspirations, tackling meaningful challenges and enhancing your skills while balancing work and life priorities. You will be part of a diverse team guided by our belief in mutual support and flexibility, enabling you to grow and reach new heights while making a positive impact in the lives of others.

We are committed to investing in your future.

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