ESI Director, Suitability

National Life Group; Montpelier (VT); Vor Ort; USD 90.000 - 132.000; Vollzeit

Zusammenfassung

National Life Group in Montpelier, VT is seeking a skilled specialist to review broker-dealer and investment adviser accounts for suitability. You will analyze complex securities transactions, coordinate with Equity Services, and deliver training while driving process improvements.

The role requires strong regulatory knowledge, excellent communication, and a proactive mindset for lifelong learning. The position is onsite four days a week, with core days Monday through Thursday, offering a

Qualifikationen

• Bachelor’s degree required.
• 10 years of financial services experience.
• 8+ years of experience conducting suitability reviews of broker-dealer/advisory business.
• FINRA Series 7 and 24 licenses required.
• Strong knowledge of annuity products.
• Strong customer service background with ability to handle difficult conversations.
• Ability to think independently and challenge opinions.
• Ability to pass a background check.

Aufgaben

• Provide superior service to the Registered Representatives of ESI and their clients.
• Review new business cases and subsequent transactions promptly and accurately.
• Conduct in-depth case reviews within established time constraints.
• Analyze complex securities transactions and discuss escalated items with the field.
• Deliver effective solutions when handling sensitive cases.
• Review and approve the daily Trade Blotter and similar reports.
• Conduct post-transaction follow-up to close outstanding items.
• Provide quality internal and external support to ease doing business.
• Deliver presentations and suitability training as needed.
• Identify and drive process improvements through implementation.
• Draft field communications.
• All other duties as assigned.

Kenntnisse

Strong communication

Financial services experience

Analytical thinking

Team collaboration

Ausbildung

Bachelor’s degree

FINRA Series 7 license

FINRA Series 24 license

Jobbeschreibung

Come join one of America’s fastest-growing insurance companies. Since 1848, National Life Group has aimed to keep our promises, providing families with stability in good times and in bad. Throughout that history, we have provided peace of mind to those families as they plan their futures.

Our mission extends beyond the insurance and annuities policies that we offer. We strive to make the world a better place through our grants from our charitable foundation, paid volunteer time for our employees, environmentally sustainable and healthy workplaces, and events that promote the work of nonprofits in our own backyard.

We foster a collaborative environment with opportunities for growth and encourage our associates to live our values: Do good. Be good. Make good.

Please note that we do not offer visa sponsorship for this position.

Role Summary

This position is responsible for the suitability review and approval of broker-dealer and investment adviser accounts and transactions. The role analyzes complex securities transactions and handles discussions with the field on escalated transactions. Working closely with the Registered Representatives of Equity Services, Inc. (ESI), this position reviews new business and subsequent transactions across annuities, mutual funds, 529s, and advisory business. The role also delivers suitability training, drafts field communications, and drives process improvements through to implementation.

The ideal candidate brings agility, strong knowledge of securities product features and regulatory requirements, business acumen, and courage, along with excellent communication skills and a commitment to lifelong learning.

This position currently offers an onsite work schedule, with the expectation that you will be in the office four (4) days per week during onsite core days. Our current onsite core days are Monday, Tuesday, Wednesday, and Thursday. The work schedule type and core days are subject to change with advance notification and manager discretion.

Essential Duties And 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.

Minimum 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.

Preferred Qualifications

• FINRA Series 53

AI Proficiency Expectations

At National Life Group, we view AI as an enablerof human potential. We use AI to help us work smarter, serve more clients, and keep our promises, while remaining a relationship-driven business where our people are our greatest strength.

All Applicants Are Expected To

• Leverage approved AI tools, where appropriate, to improve the efficiency, quality, and impact of their work.
• Stay curious and open to new AI-enabled ways of working.
• Exercise sound judgment by reviewing and validating AI-generated content.
• Maintain accountability for the accuracy, quality, fairness, and integrity of work products by adhering to National Life's AI guiding principles.
• Use AI responsibly and in accordance with company policies related to confidentiality, data privacy, security, compliance, retention, and intellectual property.

Core Competencies

Cultivates Innovation - Fosters innovation by taking calculated risks; Work cooperatively with others to produce innovative solutions.

Ensures Accountability - Holds self and others accountable to meet commitments and performance goals.

Directs Work - Provides direction, delegates, and removes obstacles to get work done.

Demonstrates Emotional Intelligence - Exhibits the ability to recognize, understand, and manage emotions and how emotions can influence others; Uses a combination of feedback and reflection to gain productive insight into personal strengths and opportunities.

Exhibits Critical and Creative Thinking - Engaging thinking skills that focus on logic and reasoning to make decisions (critical) and innovative solutions to solve problems (creative).

Leads Change - Facilitates change and transition at the individual and team level; Develops strategic goals for aligning with change.

Develops Talent - Builds team(s) equipped for the future by applying coaching techniques for developing team members to meet their professional/personal goals and the organizational goals; Listen and respond with empathy; Asks thought provoking questions.

Inspires Others - Motivates and influences others by creating an environment where teams can do their best work; Partners across the organization to achieve results.

Benefits

• Your benefits start day one and are flexible and customizable to your and your family’s specific needs. Check out the BENEFITS of a Career at National Life!

Base Pay Range

The base pay range for this position is the range National Life reasonably and in good faith expects to pay for the position taking into account the wide variety of factors, including: prior experience and job-related knowledge; education, training and certificates; current business needs; and market factors. The final salary or hourly wages offered may be outside of this range based on other reasons and individual circumstances.

Additional Compensation and Benefits

The total compensation package for this position may also include a full range of medical, financial, and/or other benefits (including 401(k) eligibility and various paid time off benefits, such as vacation, sick time, and parental leave), dependent on the position offered. The successful candidate may also be eligible to participate in National Life’s discretionary annual incentive programs, subject to the rules governing such programs. If hired, the employee will be in an "at-will position" and National Life reserves the right to modify base salary (as well as any other discretionary payment or compensation or benefit program) at any time, including for reasons related to individual performance, company or individual department/team performance, and market factors.

National Life is accepting applications for this role on an ongoing basis and the role remains open until filled.

Salary Pay Range

$90,000 - $132,000 USD

National Life Group® is a trade name of National Life Insurance Company, Montpelier, VT – founded in 1848, Life Insurance Company of the Southwest, Addison, TX – chartered in 1955, and their affiliates. Each company of National Life Group is solely responsible for its own financial condition and contractual obligations. Life Insurance Company of the Southwest is not an authorized insurer in New York and does not conduct insurance business in New York. Equity Services, Inc., Member FINRA/SIPC, is a Broker/Dealer and Registered Investment Adviser affiliate of National Life Insurance Company. All other entities are independent of the companies of National Life Group.

Fortune 1000 status is based on the consolidated financial results of all National Life Group companies.

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National Life Group

1 National Life Dr

Montpelier, VT 05604