Director of Securities Compliance & Advisory

National Life Group

United States

On-site

USD 90,000 - 132,000

Full time

14 days+

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Job summary

National Life Group is seeking an experienced professional to oversee the suitability review and approval of broker-dealer and investment adviser accounts and transactions. You will analyze complex securities transactions, collaborate with Equity Services, Inc.

field teams, deliver training, and drive process improvements from review to implementation. The ideal candidate has extensive FINRA licensing (Series 7/24), strong securities product knowledge, and a track record of high-quality service

Qualifications

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 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.