Compliance Manager, Agency Standards (Greater Atlanta GO)

Job description

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. This role involves direct oversight of agents, Registered Representatives, and Investment Advisor Representatives through regular inspections, compliance training, 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 executing the Supervisory Systems within the General Office - Conducts Periodic Inspections and Supervisory Interviews with Agents, Registered Reps & IARs and handles all follow-up required - Handles the Seminar Supervision Program - Handles the Enhanced Supervision Programs for Agents and Registered Reps - Handles the Financial Supervisi...