ESI, Director Suitability

Director - Suitability Review Principal

Summary

This position is responsible for suitability review and approval of broker-dealer and investment adviser accounts and transactions.  This role analyzes complex securities transactions and handles discussion with the field concerning escalated transactions.  This position requires agility, strong knowledge of securities product features and regulatory requirements, business acumen, courage, along with excellent communications skills and a mentality to be a life-long learner. 

Key Responsibilities

• This position is responsible for providing superior service to the Registered Representatives of Equity Services, Inc. (ESI) and their clients.
• Prompt and accurate review of new business cases and subsequent transactions, including annuities, mutual funds, 529s and advisory business.
• In-depth case review and documentation within the established time constraints.
• Provide excellent solutioning when handling sensitive situations regarding case review.
• Systematic review and approval of daily Trade Blotter & similar reports.
• Post transaction follow up to aid in resolution of outstanding items.
• Provide quality internal and external support to help facilitate ease of doing business.
• The individual in this position will be responsible for making presentations and provide suitability training as needed internally and externally.
• Identify process improvements and see through to implementation.
• Create draft field communications.

Requirements

• 5+years experience conducting suitability reviews of broker-dealer & advisory business.
• 5 years of Financial Services experience.
• Bachelor’s Degree Required.
• FINRA Series 7, 24 required. Series 53 and 4 a plus.
• Advanced Designation Preferred.
• Complex problem solver who can thrive amidst ambiguity.
• Strong background in customer service with the ability to handle difficult conversations.
• Strong knowledge of annuity products.
• Demonstrated ability to perform quality work in a fast-paced environment, be a team player who can work well with individuals at all levels of the organization.
• Superb interpersonal, time management, communication and organizational skills are also required.
• Think independently and tactfully challenging opinions of others.
• Ability to pass background and fingerprint check.

The base compensation range represents the low and high end of the range for this position. Actual compensation will vary and may be above or below the range based on various factors including but not limited to qualifications, skills, competencies, location, and experience. The range listed is just one component of our total compensation package for employees.

Other rewards may include an annual bonus, quarterly bonuses, commissions, and other long-term incentive compensation, depending on the position.  National Life offers a competitive total rewards package which includes: a 401(k) retirement plan match; medical, dental, and vision insurance; a company funded wellness account for director and below employees; 10 paid holidays; a generous paid time off plan (22 days of combined time-off for non-exempt employees and exempt employees have discretion in managing their time, including scheduling time off in the normal course of business, but in no event will exempt employees receive less sick time than required by state or local law); 6 weeks of paid parental leave; and 6 weeks of paid family leave after a year of full-time employment.

National Life is accepting applications for this role on an ongoing basis and the role remains open until filled.   

National Life Group® is a trade name of National Life Insurance Company, Montpelier, VT – founded in 1848, Life Insurance Company of the Southwest, Addison, TX – chartered in 1955, and their affiliates. Each company of National Life Group is solely responsible for its own financial condition and contractual obligations. Life Insurance Company of the Southwest is not an authorized insurer in New York and does not conduct insurance business in New York. Equity Services, Inc., Member FINRA/SIPC, is a Broker/Dealer and Registered Investment Adviser affiliate of National Life Insurance Company. All other entities are independent of the companies of National Life Group.

National Life Group

1 National Life Dr

Montpelier, VT 05604

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