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New York Life Insurance Company ("New York Life" or "the company") is the largest mutual life insurance company in the United States*. Founded in 1845, New York Life is headquartered in New York City, maintains offices in all fifty states, and owns Seguros Monterrey New York Life in Mexico.
New York Life is one of the most financially strong and highly capitalized insurers in the business. The company reported 2016 operating earnings of $1.954 billion. Total assets under management at year end 2016, with affiliates, totaled $538 billion. As of year-end 2016, New York Life's surplus was $23.336 billion**. New York Life holds the highest possible financial strength ratings currently awarded to any life insurer from all four of the major ratings agencies: A.M. Best, A++; Fitch AAA; Moody's Aaa; Standard & Poor's AA+. (Source: Individual Third Party Ratings Report as of 8/17/16).
Financial strength, integrity and humanity-the values upon which New York Life was founded-have guided the company's decisions and actions for over 170 years.
Compliance Senior Associate New York Life Insurance Company ("New York Life" or "the company") is the largest mutual life insurance company in the United States*. Founded in 1845, New York Life is headquartered in New York City, maintains offices in all fifty states, and owns Seguros Monterey New York Life in Mexico. New York Life is one of the most financially strong and highly capitalized insurers in the business. The company reported 2015 operating earnings of $1.875 billion. Total assets under management at year end 2015, with affiliates, totaled $528 billion. New York Life holds the highest possible financial strength ratings currently awarded to any life insurer from all four of the major ratings agencies: A.M. Best, A++; Fitch AAA; Moody's Aaa; Standard & Poor's AA+. (Source: Individual Third Party Ratings Report as of 8/11/15). Financial strength, integrity and humanity-the values upon which New York Life was founded-have guided the company's decisions and actions for over 170 years. The Audits and Exams team is responsible for ensuring that the Service Organization's policies and procedures are aligned with applicable regulatory and compliance requirements. In addition to assisting with the implementation of new regulatory requirements the team is also responsible for monitoring the Service Organization's continued adherence to established regulatory requirements. Working under the direction of the Compliance CVP, the Compliance Senior Assocaite is responsible for the preparation of a wide variety of information that is requested in conjunction with the various internal and external audits that the Insurance Group Service Organization participates in. These inquiries include those received from Corporate Audit, FINRA, PWC as well as the various state Departments of Insurance. This individual is expected to stay abreast of new regulatory developments, identify the specific information needed to satisfy an examiner's request, assist end business users with the collection of information and validate planned submissions to confirm their accuracy and completeness. In addition, this individual participates in the evaluation of other internal control related processes within the Service Organization as necessary such as Breakage. Major Responsibilities:
Serve as the Service Organization liaison to Corporate Compliance on matters related to the SEC 38a-1 and 3012/3013 reporting requirements. These responsibilities include completion and oversight of the quarterly reports, facilitating the collection and review of information requested during the annual review process along with identifying and recommending opportunities to strengthen the existing processes related to these initiatives.
Assist in the collection and review of information requests for all internal and external audit inquires including those performed by: Corporate Audit, FINRA, PWC and State Departments of Insurance.
Assist in the identification and development of key reporting metrics used throughout the Service Organization to measure and strengthen the overall compliance environment.
Provide guidance to representatives and managers throughout the department on new and established regulatory and compliance guidelines.
Track the status of outstanding information requests and distribute weekly and monthly communications to Service Organization management on current audit watch list items.
Participate in audit and/regulatory recovery efforts as assigned by their manager. May serve in a project management capacity depending on the scope of the recovery effort.
Summarize findings for further evaluation by management and assist in the development of action plans to address and prevent future occurrences. '
Bachelor's degree preferred (Business, Economic or related discipline)
FINRA Series 6 or 7 license preferred. Prior experience with registered product & insurance regulations preferred.
Strong oral and written communication skills
Proficiency with MS Office Suite, in particular Excel; including the use of pivot tables, formulas and charting.
SF: LI-MC1 SF: EF-MC1
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* Based on revenue as reported by "Fortune 500, ranked within Industries, Insurance: Life, Health (Mutual)," Fortune Magazine, June 17, 2016. See http://fortune.com/fortune500/ for methodology. ** Total surplus, which includes the Asset Valuation Reserve, is one of the key indicators of the company's long-term financial strength and stability and is presented on a consolidated basis of the company.
1. Operating earnings is the key measure use by management to track Company's profitability from ongoing operations and underlying profitability of the business. This indicator is based on generally accepted accounting principles in the US (GAAP), with certain adjustments Company believes to be appropriate as a measurement approach (non GAAP), primarily the removal of gains or losses on investments and related adjustments.
2. Assets under management represent Consolidated Domestic and International insurance Company Statutory assets (cash and invested assets and separate account assets) and third party assets principally managed by New York Life Investment management Holdings LLC, a wholly owned subsidiary of New York Life Insurance Company.