Corporate Vice President, Field Supervision Team Lead Greater Los Angeles, CA Area

The Company is seeking a Field Supervision & Standards Team Lead to play a pivotal role in enhancing supervisory practices, ensuring regulatory compliance, and driving operational excellence within its agency distribution system. The successful candidate will be responsible for leading, coaching, and developing a team of Field Supervision Managers, with a focus on fostering a culture of accountability, sound judgment, and continuous improvement. This leadership position involves close collaboration with zone and general office management, as well as home office teams, to oversee key supervisory activities, identify and mitigate market conduct risks, and guide the resolution of complex supervisory matters. The role also requires a strong emphasis on disciplinary actions, enhanced supervision programs, financial monitoring, and regulatory review readiness. Applicants must have a Bachelor's degree or equivalent experience in financial services, supervision, compliance, or a related field, and hold FINRA Series 7, 24, 63, and 65 or 66 registrations, with the ability to obtain Series 51 or 53 within one year. A deep understanding of supervisory standards and regulatory requirements, particularly as they apply to complex situations, is essential. The ideal candidate will have a proven track record in leading and developing teams, driving operational performance, and managing risk. Strong analytical, problem-solving, and communication skills are a must, as is the ability to influence stakeholders and collaborate effectively across various teams.

Hiring Company

New York Life Insurance Company