ESI Director, Suitability
About The Position
The ESI Director, Suitability is responsible for reviewing and approving broker-dealer and investment adviser accounts and transactions. The position reviews new business and subsequent transactions across annuities, mutual funds, 529 plans, and advisory business; analyzes complex securities transactions; and handles escalated discussions with the field. Working closely with Equity Services, Inc. Registered Representatives, the role also delivers suitability training, drafts field communications, and identifies and implements process improvements. This position currently follows an onsite schedule, with four days per week in the office on Monday through Thursday. The schedule and core days may change with advance notification and manager discretion. Applicants must be able to pass a background and fingerprint check. National Life Group does not offer visa sponsorship for this position.
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.
- Ability to perform quality work in a fast-paced environment and work well as a team player with individuals at all organizational levels.
- Strong interpersonal, time management, communication, and organizational skills.
- Ability to pass a background and fingerprint check.
- Leverage approved AI tools appropriately, remain open to AI-enabled ways of working, validate AI-generated content, and maintain accountability for work products.
- Use AI responsibly and comply with company policies on confidentiality, data privacy, security, compliance, retention, and intellectual property.
Nice To Haves
- FINRA Series 53.
Responsibilities
- Provide superior service to ESI Registered Representatives and their clients.
- Review new business cases and subsequent transactions promptly and accurately, 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 discussions with the field on escalated transactions.
- Deliver effective solutions in sensitive situations related to case review.
- Systematically review and approve the daily Trade Blotter and similar reports.
- Conduct post-transaction follow-up to help resolve outstanding items.
- Provide quality 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 to implementation.
- Draft field communications.
- Perform other duties as assigned.
Benefits
- Benefits start 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 and sick time.
- Parental leave.
- Potential eligibility for discretionary annual incentive programs.
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What This Job Offers
Job Type
Full-time
Career Level
Director
