Specialist - Registration Processing

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 Monterey New York Life in Mexico.

The Registration process pertains to the filing of Form U4’s in order to register agents, employees and field management with NYLIFE Securities LLC via WEB CRD, FINRA's online processing system . The process also includes the initial review of registration paperwork that is submitted with the initial contracting package, monitoring registered representatives (RR) FINRA Continuing Education, filing of all non-disclosure amendments, registering branch office locations, processing annual state securities license renewals, submitting digital fingerprints for RRs, service employees and individuals working for agents that are required to be fingerprinted, registration for Eagle Strategies LLC, termination of registration upon request or when an RR leaves the company and processing state affiliations and updating Marketer with approval. The position is expected to provide good customer service and support to the field, addressing registration-related inquiries received on our 1-800 number or direct dial. Initial training requires supervision and direction. After approximately 6 months with thorough cross training individual works independently.

- Initial review of registration paperwork that is submitted with the initial contracting package. - Handle initial processing of Form U4, which includes a comparison between the electronic and paper Form U4 copies submitted by the RR. - Handle Form U4 Amendments for employment and resident address changes, employment history changes and Form BR updates without supervision. - Process U5/NRF terminations within procedural timeframes. - Issue Form U4 Reference numbers. - Handle 3010 Associated Person Fingerprints to include approving marketer code on ACS, adding to ALERTS, updating Marketer and submitting digital fingerprint to FINRA. - Process state affiliatons and update Marketer with approval. - Adhere to Company, FINRA, state and federal procedures and regulations. - Manage relationship and provide outstanding service support to Agency Management, GO. employees and various HO. departments. - Process incoming work on a timely basis. - Update ALERTS and ACS tracking systems in a clear, concise and timely manner and manage work Queues in AWF. - Maintain a good working knowledge of our administrative systems and services. - Participate in special projects as assigned by the Registration Manager

- Bachelor's degree preferred or equivalent years of related experience. - Minimum 0 -2 years of service related and/or call center experience preferred - Accountable, ethical, good decision making ability - Strong written and verbal communication skills required. - Good computer skills (MS Office and Excel) and ability to multitask - Good and accurate data entry skills required - Insurance industry knowledge is preferred but not required. - Experience with accomplishing multiple tasks and high volumes of work under strict time deadlines - Problem solving skills and ability to work independently with little supervision or as part of a team.