ESI Associate Vice President, Suitability Review

National Life Insurance • Addison, TX

1d

About The Position

The Associate Vice President, Suitability Review, leads the team responsible for evaluating and supporting suitability decisions across ESI. This visible leadership role combines sound judgment, regulatory discipline, operational leadership, and people development to ensure reviews are completed accurately, efficiently, and in accordance with applicable requirements. The role ensures work is timely and accurate, stakeholders are proactively informed, and decisions are communicated effectively. The leader builds a capable and engaged team, develops staff, and advances continuous learning and process improvement. This position reports to the Senior Vice President, ESI Operations.

The role oversees ESI’s Suitability Review unit and the firm’s Written Supervisory Procedures relating to the review and acceptance of new accounts and daily transactions. It partners with business units and senior leaders, addresses escalated and complex suitability matters, supports audit requests, and leads improvements to departmental processes and technology. The position does not offer visa sponsorship.

Requirements

• Bachelor’s degree.
• At least 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, with the ability to interact with and engage all levels of management and leadership.
• Ability to pass a background check.
• Use approved AI tools appropriately, validate AI-generated content, and maintain accountability for work quality and accuracy.
• Use AI responsibly in accordance with company policies regarding confidentiality, data privacy, security, compliance, retention, and intellectual property.

Nice To Haves

• FINRA Series 63 and Series 65 or 66.
• Operational and/or customer service experience management.

Responsibilities

• Provide vision, strategic planning insight, and thoughtful solutions 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 reviews and acceptance of new accounts and daily transactions.
• Build cross-functional partnerships with Distribution, Compliance, Legal, Technology, CIG, ESI New Business, and ESI Brokerage to deliver business results and manage risk.
• 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 ensure requirements and service standards are met.
• Direct the amendment and creation of ESI forms for new business and ongoing transactions to demonstrate compliance with applicable rules, regulations, and company policies.
• Escalate or resolve jumbo cases, complex suitability issues, and field conflicts.
• Back up review and principal approval of new accounts and transactions as needed.
• Work with internal and external auditors by providing requested documentation and support.

Benefits

• Benefits begin on day one and are flexible and customizable.
• Medical, financial, and other benefits may be included, depending on the position offered.
• 401(k) eligibility.
• Paid time off benefits, including vacation, sick time, and parental leave.
• May be eligible for discretionary annual incentive programs.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior