Senior Associate, Field Supervision & Standards
$73,000–$104,000 year
Remote
Job Summary
Review and approve business social media profiles for New York Life's field force by evaluating content, biographies, images, and links against firm policy and regulatory requirements. Provide practical, solution-oriented guidance to agents and field leaders regarding required revisions and acceptable digital business practices. Maintain accurate documentation of supervisory reviews and monitor trends to identify recurring issues for process improvements. Support broader initiatives including higher-risk prospective financial professional reviews, complaint and fiduciary role assessments, and the development of training materials. Collaborate with Compliance, Legal, Marketing, Technology, and Field Leadership to enhance supervisory consistency and operational efficiency.
Required Qualifications
- Bachelor's degree or equivalent professional experience
- FINRA Series 7 and Series 24 registrations
- Strong analytical and problem-solving skills
- Excellent written and verbal communication skills
- Ability to interpret and apply regulatory and supervisory requirements
- Strong organizational skills with the ability to manage multiple priorities
- Demonstrated sound judgment and professionalism
- FINRA licensed and/or FINRA Associated Person pre-hire fingerprinting
Desired Qualifications
- Experience in financial services supervision, compliance, risk management, or a related regulatory environment
- Experience reviewing or supervising social media activity within a regulated industry
- Familiarity with FINRA, SEC, and insurance regulatory requirements related to digital communications
- Experience supporting process improvement initiatives, workflow optimization, or technology enhancements
- Demonstrated ability to collaborate effectively across multiple business functions
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