CAIA's Career Center is an easy-to-use, comprehensive resource connecting job seekers with employers in the growing AI field. Use your knowledge and credibility to advance your career or build a talented team for your organization. Opportunities targeted to CAIA Charterholders are prioritized.
In order to search for jobs specifically for CAIA Charterholders or those pursuing the CAIA Charter please enter “CAIA” in the search panel.
This will enable you to search for CAIA specific roles globally.
Compliance Analyst, Senior Associate, Northern Virginia General Office
New York Life Insurance Company
August 9, 2018
New York Life Insurance Company is the largest mutual life insurance company in the United States. Founded in 1845 and headquartered in New York City, New York Life reported 2017 operating earnings of $2.06 billion. Total assets under management at year end 2017, with affiliates, totaled $586 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 independent rating agency commentary as of 8/1/17).
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.
This role will be housed in the Northern Virginia General Office.
Role Overview :
Assist Managing Partner in Agent Supervision
Complete Unannounced Annual Reviews
Review incoming correspondence and handle red flags as appropriate
Review outgoing correspondence
Conduct Firm Element and Registered Representative Training
Maintain Sales Material Review Procedures
Train agents on proper file procedures
Follow-up and track compliance and supervision operations
Handle/maintain registered products
Prepare for General Office Reviews
Minimum 2 years of industry experience
Comprehensive knowledge of registered and non-registered products
Must have Series 7 & Series 24
Preferred Series 51 or 53
Series 65, 66 or ChFC (or obtain within 6 months)
Excellent communication skills (written and verbal)
Strong analytical skills required
Must be a self-starter, results-oriented, a team player and be able to prioritize responsibilities
If you have difficulty using or interacting with any portions of this Web site due to incompatibility with an Assistive Technology, if you need the information in an alternative format, or if you have suggestions on how we can make this site more accessible, please contact us at: (212) 576-5811.