New York Life Insurance Company Compliance Analyst, Sr. Associate in Grand Rapids, Michigan

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.

This role will support the Michigan and Greater Detroit General Offices.

General Profile :

• Review all cases written by assigned agents.

• Review all incoming 3010 logs for assigned agents. Follow-up when necessary.

• Review all out going correspondence and provide to the appropriate department for approval.

• Assist in agent training with regard to compliance/standards rules and regulations, including field observation.

• Work with Management Team to identify and resolve potential red flag items generated locally or through Home Office.

• Work with CCD, General Office and Zone to ensure that all complaints are processed in a timely manner.

• Conduct all follow-up required after annual Supervisory Interview of assigned agents.

• Conduct and document client contact as necessary.

• Ensure all seminar materials are submitted/approved and advance notifications are given to the General Office as required.

• Ensure agent staff is properly trained.

Functional Knowledge :

• Bachelor Degree preferred

• Minimum 2 years of industry experience

• Series 7 and 24 required

• Series 51 or 53 (or obtain within 12 months)

• Series 65, 66 or ChFC (or obtain within 6 months)

• Excellent communications skills (written and verbal)

• Strong analytical skills required

• Must be a self starter, result oriented and a team player

  • Series 6 and Series 7 registrations are required – the Security Industry Essentials Exam is a registration pre-requisite as of October 1, 2018


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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 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.