Director, Investment Suitability & Compliance

National Life Insurance Company Limited; Addison, Montpelier (TX, VT); On-site; USD 90,000 - 132,000; Full time

Job summary

National Life Group is seeking a senior reviewer to assess broker-dealer and investment adviser accounts, analyze complex securities transactions, and communicate findings to the field. This role collaborates with Equity Services, Inc.

to ensure compliance across annuities, mutual funds, 529s, and advisory business. The candidate will train teams and drive process improvements while maintaining strong client service.

Qualifications

• 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 24 licenses.
• Strong knowledge of annuity products.
• Strong background in customer service, with the ability to handle difficult conversations.
• Complex problem solver who can thrive amid ambiguity.
• Ability to think independently and tactfully challenge the opinions of others.
• Demonstrated ability to perform quality work in a fast‑paced environment and to work well as a team player with individuals at all levels of the organization.
• Superb interpersonal, time management, communication, and organizational skills.
• Ability to pass a background and fingerprint check.

Responsibilities

• Provide superior service to the Registered Representatives of ESI and their clients.
• Review new business cases and subsequent transactions promptly and accurately, including annuities, mutual funds, 529s, 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 when handling 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.
• All other duties as assigned.

Skills

FINRA Series 7

FINRA Series 24

Suitability reviews

Annuity products

Customer service

Problem solving

Independent thinking

Interpersonal skills

Background check

Job description

National Life Group is seeking a senior reviewer to assess broker-dealer and investment adviser accounts, analyze complex securities transactions, and communicate findings to the field. This role collaborates with Equity Services, Inc.

to ensure compliance across annuities, mutual funds, 529s, and advisory business. The candidate will train teams and drive process improvements while maintaining strong client service.