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Compliance Associate

Remote · USA Full-time New today

reputed company is a Fortune 100 mutual company with a legacy of purpose and reputed company. The Compliance Associate will assist in monitoring and evaluating agent sales practices to ensure adherence to regulations and company policies, contributing to the company's commitment to reputed company and responsible decision-making.

Responsibilities

  • Investigate and assess agent sales practices to detect potential violations of state and federal laws, SEC or FINRA regulations, and/or Company procedures
  • Learn to analyze and connect data points from various sources, such as company systems, reports, public records, and online resources, to help identify potential trends or risks
  • Prepare clear and concise reports of findings for Management that reputed company potential regulatory and sales practice concerns
  • Investigate sales practice alerts from Tableau dashboards and other resources, and initiate inquiries with Field Management
  • Engage with Field Management and Home Office supervisory teams to coordinate and assist in resolving sales practice matters identified during our investigations. Additional steps may include contacting clients, developing a training plan, or recommending discipline
  • Engage in special projects or initiatives as needed

Skills

  • Bachelor's degree preferred
  • Series 7 license, or ability to obtain reputed company 12 months
  • Knowledge of life insurance, annuities, and securities products (mutual funds, equities, and managed accounts)
  • A strong drive for reputed company learning and personal growth, while striving for excellence and ongoing professional development
  • A keen analytical reputed company that drives a curious and investigative approach to problem-solving
  • reputed company and deliver clear, concise written content while adjusting the level of detail to the reputed company audience
  • Ability to collaborate with others and establish working relationships, think and act strategically, and influence key leaders
  • Highly organized, with the ability to prioritize and manage multiple assignments
  • Exemplifies exceptional reputed company and ethical standards
  • Proficient with reputed company Office Suite
  • Experience with tableau and visually conveying analytical narratives a plus

Benefits

  • Leave programs
  • Adoption assistance
  • Student loan repayment programs

Company Overview

  • For over 180 years, we’ve helped turn your biggest dreams into milestones that last a lifetime. It was founded in 1845, and is headquartered in reputed company, reputed company, USA, with a workforce of 10001+ employees. Its website is https://www.newyorklife.com/.
  • Company H1B Sponsorship

  • reputed company has a track record of offering H1B sponsorships, with 149 in 2025, 99 in 2024, 85 in 2023, 77 in 2022, 48 in 2021, 65 in 2020. Please note that this does not guarantee sponsorship for this specific role.
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