Senior Associate - Agency Standards Compliance Manager (Spokane, WA)
New York Life ·
- Work mode
- Onsite
- Seniority
- Senior
- Category
- Legal
- Experience
- 2+ years
Location Designation: Fully Onsite
Role Overview:
As a key member of New York Life’s Agency distribution system, you will assist the Managing Partner in maintaining and executing critical supervisory systems within the General Office, with primary oversight responsibility for one designated Investment Advisor and additional support provided to the General Office as needed and as time allows. This role involves direct oversight through regular inspections, compliance training, correspondence review, and supervision programs. You will also serve as a primary compliance resource, ensuring adherence to regulatory requirements and helping to uphold the firm’s high standards. Ideal candidates bring a solid foundation of industry knowledge, relevant licenses, and a proactive, detail-oriented approach to promoting operational excellence and regulatory integrity.
What You’ll Do:
• Assists the Managing Partner with Agent, Registered Rep, and IAR supervision and execution of Supervisory Systems within the General Office, with primary concentration on a specific IAR and additional support provided as needed
• Conduct Periodic Inspections and Supervisory Interviews
• Handles the Seminar Supervision Program
• Handles the Enhanced Supervision Program
• Handles the Financial Supervision Program for Agents and Registered Reps, as needed
• Conducts Incoming and Outgoing Correspondence Reviews and resolution of red flag items
• Assists the Managing Partner in recommending and delivering disciplinary actions
• Serves as the “point person” to answer Standards and Compliance related questions
• Conducts Site Inspections for General Offices, Sales Offices, and Satellite Offices, as needed
• Assists with complaint review, handling, and resolution
• Conducts Standards and Compliance related training
• Assists with follow-up for regulatory year-end requirements
What You'll Bring:
Required Skills:
• Bachelor’s Degree and/or equivalent experience
• Minimum 2 years of industry experience
• Comprehensive knowledge of registered and non-registered products
• Must have Series 7 & Series 24
• Series 65, 66, or ChFC (or obtain within 12 months)
• Excellent communication skills (written and verbal)
• Strong analytical skills required
• Must be a self-starter, results-oriented, a team player, and able to prioritize responsibilities
Preferred Skills:
• Preferred Series 51 or 53
#LI - EM1
#LI - HYBRID
Pay Transparency
Salary Range: $90,000-$128,500
Overtime eligible: Exempt
Discretionary bonus eligible: Yes
Sales bonus eligible: No
Actual base salary will be determined based on several factors but not limited to individual’s experience, skills, qualifications, and job location. Additionally, employees are eligible for an annual discretionary bonus. In addition to base salary, employees may also be eligible to participate in an incentive program.
Please note: This role requires FINRA licensed and/or FINRA Associated Person pre-hire fingerprinting.
Company Overview
At New York Life, our 180-year legacy of purpose and integrity fuels our future. As we evolve into a more technology-, data-, and AI-enabled organization, we remain grounded in the values that drive lasting impact.
Our diverse business portfolio creates opportunities to make a difference across industries and communities—inviting bold thinking, collaborative problem-solving, and purpose-driven innovation. Here, you’ll find the rare balance of long-standing stability and forward momentum, supported by an inclusive team that honors tradition while embracing progress.
As a Fortune 100 mutual company, we offer a place to grow your skills, contribute to meaningful work, and deliver solutions that matter. Your ideas drive what’s next, and your growth powers it.
Our Benefits
We provide a full package of benefits for employees – and have unique offerings for a modern workforce, including leave programs, adoption assistance, and student loan repayment programs. Based on feedback from our employees, we continue to refine and add benefits to our offering, so that you can flourish both inside and outside of work. Click here to discover more about our comprehensive benefit options or visit our NYL Benefits Site.
Our Commitment to Inclusion
At New York Life, fostering an inclusive workplace is fundamental to who we are and how we serve our communities. We have a longstanding commitment to creating an environment where individuals can contribute their best and succeed together. This foundation is rooted in our core values of humanity and integrity, ensuring that every employee feels valued and supported. By embracing a broad range of perspectives and experiences, we achieve greater success and fulfill our promise of providing financial security and peace of mind to families across all communities. Click here to learn more about New York Life’s leadership in this space.
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. To learn more about career opportunities at New York Life, please visit the Careers page of .
Visit our LinkedIn to see how our employees and agents are leading the industry and impacting communities.
Visit our Newsroom to learn more about how our company is constantly evolving to meet our clients' and employees’ needs.
Job Requisition ID: 93343