Director, Suitability & Regulatory Review

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

Job summary

National Life Group in the Dallas area is seeking an experienced professional to review and approve broker-dealer and investment adviser accounts. You will analyze complex securities transactions and coordinate with the field on escalated cases across annuities, mutual funds, 529s and advisory business.

The ideal candidate brings FINRA Series 7 and 24 licenses, strong service mindset, and the ability to train others on suitability.

Qualifications

• 10+ years of financial services experience.
• 8+ years reviewing suitability of broker-dealer/advisory business.
• FINRA Series 7 and 24 licenses.
• Knowledge of annuity products.
• Strong customer service background and handling difficult conversations.
• Ability to solve problems and work in ambiguity.
• Independent thinking and tactful challenge of others.
• Ability to pass background and fingerprint check.

Responsibilities

• Provide superior service to the Registered Representatives of ESI and clients.
• Review new business cases promptly across annuities, funds, 529s, and advisory business.
• Conduct in-depth case reviews within established time constraints.
• Analyze complex securities transactions and discuss escalated items with the field.
• Deliver solutions for sensitive case situations.
• Review and approve the daily Trade Blotter and similar reports.
• Post-transaction follow-up to resolve outstanding items.
• Provide internal and external support to facilitate business.
• Deliver presentations and suitability training internally and externally as needed.
• Identify process improvements and drive implementation.
• Draft field communications.
• All other duties as assigned.

Skills

Securities knowledge

Customer service

Complex problem solving

Communication skills

Team collaboration

Education

FINRA Series 7 & 24 licenses

FINRA Series 53 (preferred)

Job description

National Life Group in the Dallas area is seeking an experienced professional to review and approve broker-dealer and investment adviser accounts. You will analyze complex securities transactions and coordinate with the field on escalated cases across annuities, mutual funds, 529s and advisory business.

The ideal candidate brings FINRA Series 7 and 24 licenses, strong service mindset, and the ability to train others on suitability.