AVP, Suitability Review — Strategy, Leadership & Compliance

National Life Group; Montpelier (VT); On-site; USD 111,000 - 162,000; Full time

Job summary

National Life Group in Montpelier, VT seeks a senior leader to oversee suitability review for ESI. The AVP role requires strategic thinking, regulatory discipline, operational leadership, and people development to ensure timely, accurate reviews.

You will build a capable team, maintain stakeholder communication, and drive process improvements in alignment with company policies. The role reports to the Senior Vice President, ESI Operations and requires extensive leadership experience, FINRA

Qualifications

• 10+ years in industry operations/broker-dealer experience
• Strong leadership and people management skills
• Attention to detail and high professionalism

Responsibilities

• Provide vision, strategic planning insight for enterprise and groups
• Support direct reports' career development and engagement
• Oversee ESI Suitability Review unit and ensure WS procedures followed
• Build cross-functional partnerships to deliver results and manage risk
• Establish a highly effective, engaged team with positive morale
• Collaborate with ESI senior leadership to align priorities with strategy
• Guide issue resolution with root-cause analysis
• Oversee technology projects to improve departmental efficiency
• Direct amendments of ESI forms for new business and transactions
• Escalate jumbo cases and assist with new accounts and transactions
• Coordinate with auditors to provide requested documentation

Skills

Leadership

Strategic planning

People development

Cross-functional collaboration

Regulatory discipline

Operational leadership

Problem solving

Education

Bachelor’s Degree

Job description

National Life Group in Montpelier, VT seeks a senior leader to oversee suitability review for ESI. The AVP role requires strategic thinking, regulatory discipline, operational leadership, and people development to ensure timely, accurate reviews.

You will build a capable team, maintain stakeholder communication, and drive process improvements in alignment with company policies. The role reports to the Senior Vice President, ESI Operations and requires extensive leadership experience, FINRA