ESI Director, Suitability
About The Position
This position is responsible for suitability review and approval of broker-dealer and investment adviser accounts and transactions. It analyzes complex securities transactions and handles discussions with the field regarding escalated transactions. Working closely with Equity Services, Inc. (ESI) Registered Representatives, the role reviews new business and subsequent transactions across annuities, mutual funds, 529 plans, and advisory business. It also delivers suitability training, drafts field communications, and drives process improvements through implementation. The position currently follows an onsite schedule, with four days per week in the office on Monday through Thursday. The schedule type and core days may change with advance notification and manager discretion. Visa sponsorship is not offered.
Requirements
- Bachelor’s degree.
- 10 years of financial services experience.
- 8 or more years of experience conducting suitability reviews of broker-dealer and advisory business.
- FINRA Series 7 and Series 24 licenses.
- Strong knowledge of annuity products.
- Strong customer-service background and ability to handle difficult conversations.
- Ability to solve complex problems and thrive amid ambiguity.
- Ability to think independently and tactfully challenge others’ opinions.
- Demonstrated ability to perform quality work in a fast-paced environment and work effectively as a team player with individuals at all organizational levels.
- Excellent interpersonal, time-management, communication, and organizational skills.
- Ability to pass a background and fingerprint check.
- Use approved AI tools appropriately, remain open to AI-enabled ways of working, review and validate AI-generated content, maintain accountability for work products, and use AI responsibly in accordance with company policies.
Nice To Haves
- FINRA Series 53.
Responsibilities
- Provide service to ESI Registered Representatives and their clients.
- Promptly and accurately review new business cases and subsequent transactions, including annuities, mutual funds, 529 plans, and advisory business.
- Conduct in-depth case reviews and documentation within established time constraints.
- Analyze complex securities transactions and handle field discussions about escalated transactions.
- Deliver effective solutions in sensitive case-review situations.
- Review and approve the daily Trade Blotter and similar reports.
- Conduct post-transaction follow-up to help resolve outstanding items.
- Provide internal and external support to make it easier to do business.
- Deliver presentations and suitability training internally and externally as needed.
- Identify process improvements and see them through implementation.
- Draft field communications.
- Perform other duties as assigned.
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 to participate in discretionary annual incentive programs.
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What This Job Offers
Job Type
Full-time
Career Level
Director
