Senior Compliance Officer

2 weeks ago


Dallas, Texas, United States New York Life Insurance Company Full time
Job Summary

We are seeking a highly skilled Senior Compliance Officer to join our team at New York Life Insurance Company. As a key member of our organization, you will be responsible for ensuring that our business operations are in compliance with regulatory requirements and industry standards.

Key Responsibilities
  • Leadership and Team Management
    • Lead a team of analysts and registered principals in the review of new and replacement sales transactions to ensure compliance with suitability and replacement guidelines.
    • Foster a positive work environment and ensure strong relationships with internal and external stakeholders.
  • Compliance and Risk Management
    • Develop and implement compliance programs to ensure adherence to regulatory requirements and industry standards.
    • Monitor agent/customer transactions and identify patterns requiring review by Corporate Compliance.
    • Review and sign off on all suitability control reports within compliance standards.
  • Communication and Collaboration
    • Provide guidance to agents and the field on matters pertaining to suitability.
    • Communicate with senior management on suitability trends and recommended solutions.
    • Collaborate with Systems, Project Management, and Corporate Compliance Teams to advance system and workflow enhancements.
Requirements
  • Education and Experience
    • Bachelor's degree preferred.
    • Minimum of 5 years' experience in the securities industry with a background in registered annuity products, life products, mutual funds, and securities.
  • Professional Certifications
    • FINRA Series 7 and 24 required; Series 53 and/or 4 a plus.
  • Leadership and Communication Skills
    • Strong leadership skills with the ability to coach and develop individual producers and managers.
    • Proven ability to foster a collaborative and cohesive culture.
What We Offer

We offer a competitive salary range of $100,000-$170,000, exempt overtime eligibility, and a discretionary bonus program. Our benefits package includes a comprehensive range of programs to support your physical, emotional, and financial well-being.


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