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 prioritize career advancement, teamwork, innovation, and inclusivity. We aim for our employees to take pride in being part of an organization dedicated to ethical practices. Here, you will have the chance to enhance your career while also growing personally and professionally through a variety of resources and programs.

The primary duties of this role involve leading the Product Compliance Team in all facets related to New Business Forms, which includes the development of applications and associated forms, regulatory submissions, system implementations, and ongoing compliance oversight. This position collaborates closely with the Retail Life, Long-Term Care insurance, and Individual Disability Income insurance sectors. You will work directly with Product Development teams and Purchase Experience Value Stream teams to facilitate new business initiatives and ensure compliance.

In this capacity, you 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 multiple 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 the ongoing compliance of new business forms. You will also oversee 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. Your team will prepare and supply the required forms to various new business workstreams throughout the organization for implementation, as well as coordinate with external vendors for typesetting, printing, uploading, and storage of forms as necessary. Additionally, you will standardize the new business form compliance process across supported products and create 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, multitasking ability, and effective teamwork are crucial.
  • Familiarity with the SERFF filing system is preferred. Experience working with state regulators is advantageous.
  • A minimum of 5 years of prior experience in similar product insurance compliance is required.
  • Experience collaborating with cross-functional teams to implement and launch projects is necessary.
  • Strong analytical skills and sound judgment in identifying and addressing compliance risks in the drafting, filing, and implementation of new business forms are essential.
  • Excellent organizational skills, with the capacity to manage multiple projects and tasks, lead a team, and collaborate effectively to ensure completion.
  • Ability to work collaboratively, establish productive relationships, think and act strategically, and influence others to resolve complex compliance issues.
  • Decision-making capabilities that impact cross-functional compliance issues after consulting with key stakeholders are required.
  • Exceptional written and verbal communication skills, with the ability to adapt communication styles to different audiences. Communication skills should also include the ability to negotiate with regulators regarding form filings.

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

Discretionary bonus eligible: Yes

Discover more about our benefits. Starting salary is contingent upon various factors including prior work experience, specific industry experience, and required skills.

Please note: This role requires FINRA licensed 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. We take pride in our mutuality, operating in the best interests of our policy owners. We invite you to contribute your talents to New York Life, allowing us to continue assisting families and businesses in achieving their goals.

About NY Life Insurance Company

Diversity and Humanity are core values deeply embedded in the New York Life culture, forming the foundation of our commitment to employees, agents, policy owners, and the communities we serve for over 175 years. At New York Life, you become an integral part of a welcoming, inclusive, and supportive culture with a longstanding 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 offer an environment where you can pursue your career aspirations, tackle meaningful challenges, and develop your skills while balancing work and life priorities. You will be part of a diverse team guided by our commitment to support one another, providing the flexibility to grow and achieve new heights while making a positive impact in the lives of others.

Your future is important to us, and we are dedicated to investing in your development.

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