ESI Associate Vice President, Suitability Review
About The Position
The Associate Vice President, Suitability Review, leads the ESI team responsible for evaluating and supporting suitability decisions. The role combines regulatory discipline, sound judgment, operational leadership, and people development to ensure reviews are accurate, timely, and compliant with applicable requirements, rules, and company policies. The leader keeps stakeholders proactively informed, communicates decisions effectively, and develops a capable, engaged team focused on critical problem-solving, prevention, continuous learning, and process improvement. The position reports to the Senior Vice President, ESI Operations. The role provides strategic direction for the suitability review function, supports employee development, and builds partnerships across business units to deliver results and manage risk. It oversees adherence to ESI Written Supervisory Procedures for new accounts and daily transactions; directs relevant forms and process improvements; and serves as an escalation point for complex cases and field conflicts. The leader also works with technology and service vendors, supports audits, and may provide backup review and principal approval of accounts and transactions.
Requirements
- Bachelor’s degree.
- 10+ years of industry experience in suitability and broker-dealer operations.
- Current, active FINRA Series 7, 24, and 53 licenses.
- At least 5 years in a leadership role.
- High attention to detail and strong people skills.
- Ability to manage competing demands and remain adaptable and flexible.
- Excellent professional presentation and interpersonal skills, including the ability to interact with and engage all levels of management and leadership.
- Must pass a background check.
- Use approved AI tools appropriately, validate AI-generated content, maintain accountability for work quality and integrity, and follow company policies for responsible AI use.
Nice To Haves
- FINRA Series 63, 65, or 66 license.
- Operational and/or customer service experience management.
Responsibilities
- Provide vision, strategic planning insight, and solutioning expertise for the enterprise and functional group.
- Support direct reports’ career development, motivation, engagement, and use of employee strengths.
- Oversee the ESI Suitability Review unit and ensure Written Supervisory Procedures are followed for review and acceptance of new accounts and daily transactions.
- Build cross-functional partnerships with Distribution, Compliance, Legal, Technology, CIG, ESI New Business, ESI Brokerage, and other teams.
- Establish a highly effective, engaged team with positive morale.
- Partner with ESI senior leadership to align priorities with business strategies.
- Direct issue resolution and coach on complex decisions, emphasizing root cause analysis.
- Prioritize and oversee technology and other projects to improve departmental efficiency; work with technology and service vendors to meet requirements and service standards.
- Direct the amendment and creation of ESI forms for new business and ongoing transactions to demonstrate compliance.
- Escalate jumbo cases, complex suitability issues, and field conflict situations; provide backup review and principal approval of new accounts and transactions as necessary.
- Work with internal and external auditors to provide requested documentation and support.
Benefits
- Benefits begin on day one and are described as flexible and customizable.
- Medical benefits.
- 401(k) eligibility.
- Paid time off, including vacation and sick time.
- Parental leave.
- Potential eligibility for discretionary annual incentive programs.
Stand Out From the Crowd
Upload your resume and get instant feedback on how well it matches this job.
What This Job Offers
Job Type
Full-time
Career Level
Senior
