2 Compliance Analyst, Sales Marketing Review Unit Jobs in New York, NY
New York Life Insurance Co is Hiring a Compliance Analyst, Sales Marketing Review Unit Near New York, NY
When you join New York Life, you're joining a company that values career development, collaboration, innovation, and inclusiveness. We want employees to feel proud about being part of a company that is committed to doing the right thing. You'll have the opportunity to grow your career while developing personally and professionally through various resources and programs. New York Life is a relationship-based company and appreciates how both virtual and in-person interactions support our culture.
Senior Associate, Sales Marketing Review Analyst (SMRU)
We are seeking a sales marketing review analyst to join our team and work closely with agent and corporate business groups to ensure compliance with SEC, FINRA regulations and company policies in our marketing materials. As a sales review analyst, you play a vital role in maintaining the integrity of our brand and ensuring marketing materials adhere to regulatory requirements. This role services agents and the business groups that support agents and the products agents offer, which encompasses life and disability income insurance, annuities, and registered products, such as 529 plans, mutual funds and variable life and annuity policies.
Job Description and Responsibilities:
- Perform thorough and timely compliance reviews of marketing materials (including advertising and sales literature) for the agent salesforce and internal business partners and ensuring alignment with FINRA (specifically Rule 2210), SEC Rules, NAIC Advertising Guidelines, and Company policies.
- Deliver high-level service with rapid response to address advertising inquiries from our valued business partners and the agent salesforce.
- Educate and update business partners on regulatory changes within the industry and guidance on ensuring sales and advertising material are compliant.
- Participate in projects such as Artificial Intelligence tools that are used to make the workflow process more efficient and customer focus. This entails testing, training, and developing procedures.
- Serve as a Compliance lead for business groups as the Company introduces new products, sales strategies, and marketing campaigns.
- Independently work with agent and advisor submitters as they create their own marketing materials.
Qualifications:
- Bachelor's degree preferred.
- 3 years of industry experience preferred but not required.
- FINRA SIE required. FINRA Series 6/26 or Series 7/24 licenses preferred but not required. If hired, must pass the Series 6 in 3 months and the Series 26 in the next 3 months.
- General knowledge of life insurance and annuity products including the federal and state insurance and securities laws that regulate these products.
- Must possess excellent written and verbal communications skills.
- Must possess strong organizational skills to process a high volume of documents daily and work under pressure with tight deadlines.
- Must have critical thinking and analytical skills along with being a self-starter.
- Must be professional, customer focused, and agile.
- Must be proficient with MicroSoft Word, Excel, and PowerPoint and receptive to learning new computer systems and tools.
Overtime eligible: Exempt
Discretionary bonus eligible: Yes
Sales bonus eligible: No
Click here to learn more about our benefits. Starting salary is dependent upon several factors including previous work experience, specific industry experience, and/or skills required.
Recognized as one of Fortune's World's Most Admired Companies, New York Life is committed to improving local communities through a culture of employee giving and volunteerism, supported by the Foundation. We're proud that due to our mutuality, we operate in the best interests of our policy owners. We invite you to bring your talents to New York Life, so we can continue to help families and businesses "Be Good At Life." To learn more, please visit LinkedIn, our Newsroom and the Careers page of www.NewYorkLife.com.
Job Requisition ID: 90238
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Job Summary
Full Time
$83k-97k (estimate)
05/01/2024
05/16/2024
newyorklife.com
NEW YORK, NY
7,500 - 15,000
2015
THEODORE A MATHAS
$10B - $50B
Insurance
Related Companies
About New York Life Insurance Co
Youll find all that and more as a New York Life Financial Professional. At New York Life, we believe its possible to get ahead and do the right thing. This career isnt for everyone, but the best Agents and Managers in our company will tell you theres nothing else like it. Successful Agents at New York Life come from many different cultures and backgrounds. Most have dreams like yours. And life stories nothing like yours. Thats one reason our Company is a great place to build your career. Are you looking for an opportunity to grow as a professional in a well-established companyone that provides... a support structure to help you succeed? At New York Life, our generations of experience, combined with your hard work and entrepreneurial spirit, can give you the competitive advantage you need in a rapidly changing career landscapeeven if you dont have experience in selling financial products. With the support of experienced managers and agents, youll have the opportunity to learn and can begin shaping the career you want, backed by a company thats kept the promises its made for 170 years. And its not just monetary rewards youll be earning. Your work as an agent lets you make a real difference in your community. Want to hear more? Lets talk. Making a difference and building relationships. Getting ahead by doing the right thing is exactly what New York Life agents do every day. If youre looking to make a real difference by helping people in your community achieve financial security, then this might just be the career youre looking forone that puts you in control. In fact, our agents are recognized among the best trained and most knowledgeable in the industry. When you join New York Life, its not about where youve come from; its about where you want to go. Lets talk further about the opportunities that New York Life can offer you. Contact me today!
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