Senior Associate - Compliance Analyst
Posted on: 13 May 2022
White Plains, NY
Job Description
Job Description and Responsibilities:
Review, analyze and process the sales material submissions (Business Card, Letterhead) received from the Agents/General Offices.
Coordinate communications, both verbally and in writing, with Field management and the Agents to resolve identified sales material issues.
Apply knowledge of State and Department of Insurance assumed name Filing Requirements to the approval process.
Monitor a centralized inbox and provide timely written response to all inquiries.
Educate and update the Field on specific changes within the compliance industry.
Provide back-up support for processing Outside Business Activity (OBA) submissions received from the Field.
Process U4 amendments and review reports to ensure accurate FINRA Form U4 processing
Work on special projects related to the job function and assist in the refinement and improvement of procedures/processes
Qualifications:
Bachelor’s degree
Series 6 and 26 FINRA licenses
Knowledge of Industry/Regulatory requirements and Compliance experience required.
Strong Organizational Skills-ability to prioritize multiple tasks and follow through to completion in a timely manner.
Excellent communication (written and verbal) and interpersonal skills
Must exercise good business judgment, have keen attention to detail and elevate complex issues when necessary.
Must be self-motivated and able to work independently.
Must be able to work effectively under pressure and with tight guidelines.
Must be objective and professional
Must exhibit excellent customer service & always respond promptly and in a professional manner
New York Life Insurance
New York, New York
New York Life Insurance Company, a mutual life insurance company, together with its subsidiaries, provides a range of insurance and investment products and services. The company offers life insurance, long-term care, insurance pension, and disability insurance products, as well as mutual funds. It also provides securities brokerage, financial planning, investment management and advisory, trust, and capital financing services, as well as fixed deferred and variable annuities.
In addition, the company invests in limited partnerships and limited liability companies, consolidated investment companies, equity investments, derivatives, securities purchased under agreement to resell, short-term investments, real estate, mortgage and other loans, and loans of various consolidated variable interest entities. New York Life Insurance Company offers its insurance and annuity products in the United States and its territories, Mexico, and Canada through its career agency force, as well as through third party banks, brokers, and independent financial advisors; and investment management and advisory services in the United States, Europe, Asia, and Australia. The company was founded in 1845 and is based in New York, New York.
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IndustryInsurance
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No. of Employees11,320
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Website
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Jobs Posted597
