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Corporate Vice President, Agency Field Operations Supervision

Company: New York Life
Location: White Plains
Posted on: January 16, 2020

Job Description:

Develop and conduct education and training sessions for field management, agents/registered representatives and agents staffs on issues of market conduct, field supervision, compliance matters and the like. Conducts OSJ inspections on behalf of CompanyIFE Securities, Inc. report findings and make recommendations. Establish and maintain records of each inspection and follow-up to be sure that all discrepancies are resolved. Communicate results to CompanyIFE Securities. Conduct supervision interviews for registered representatives and principals who are employees and maintain appropriate individual files. Conduct unannounced supervisory interview/inspections for agents/registered representatives and sign-off on such inspections. Conducts Agency Standards reviews of General Offices to ensure adherence to Company and State regulatory guidelines and procedures. Investigate and resolve agent and agency conflicts. Investigate agents in market conduct matters; recommends and implements disciplinary actions and additional supervision and training. Deal with sexual harassment, discrimination and other EEO matters including investigations and follow-up recommendations. Coaching and developing General Office management and agents through training classes and seminars to ensure compliance with Agency Standards and Rules. Conduct special investigations as directed. Qualifications Bachelors Degree Any Advanced degree or designation (CLU, CHfC, CFP, CAMS, etc.) is a plus Comprehensive knowledge of registered and non-registered products Must have Series 7, 24 and 65 or 66 Series 51 or 53 required within 90 days Highly developed skills in written and oral communications Willing to Travel Location White Plains, NY, United States of America Industry IT Employment Agency New York Life Contact Click apply Reference JS7750_******* Posted Date 1/4/2020 1:06:54 PM Permalink *****************************

Keywords: New York Life, Hoboken , Corporate Vice President, Agency Field Operations Supervision, Executive , White Plains, New Jersey

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