Director, Suitability & Regulatory Reviews (Onsite 4x/Week)

National Life Group; Addison (TX); On-site; USD 90,000 - 132,000; Full time

Benefits offered by this job

Benefits start day one

401(k) eligibility

Paid time off

Job summary

National Life Group in Addison, TX seeks a senior specialist to oversee suitability reviews for broker-dealer and investment adviser accounts, analyzing complex securities and guiding field discussions across annuities, mutual funds, 529s, and advisory business.

The role emphasizes regulatory knowledge, training delivery, and process improvements. Requires FINRA Series 7/24, 10+ years in financial services, and onsite four days a week (Mon–Thu core days).

Qualifications

• Bachelor’s degree.
• 10 years of financial services experience.
• 8+ 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

Communication skills

Customer service

Problem solving

Team player

Independent thinking

Attention to detail

Analytical thinking

Education

Bachelor’s degree

Tools

FINRA Series 7

FINRA Series 24

FINRA Series 53

Job description

National Life Group in Addison, TX seeks a senior specialist to oversee suitability reviews for broker-dealer and investment adviser accounts, analyzing complex securities and guiding field discussions across annuities, mutual funds, 529s, and advisory business.

The role emphasizes regulatory knowledge, training delivery, and process improvements. Requires FINRA Series 7/24, 10+ years in financial services, and onsite four days a week (Mon–Thu core days).