ESI Suitability Leader — Associate VP

National Life Group; United States; Vor Ort; USD 111.000 - 162.000; Vollzeit

Zusammenfassung

National Life Group invites applications for the AVP, Suitability Review, a leadership role overseeing the ESI Suitability Review unit. You will guide strategic planning, risk management, and process improvements while maintaining compliance with applicable rules and company policies.

The role emphasizes staff development, cross-functional collaboration, and timely, accurate reviews. Strong leadership, regulatory knowledge, and FINRA licensing are essential for success.

Qualifikationen

• Bachelor’s degree required.
• 10+ years in Suitability/Broker-Dealer operations.
• Active FINRA Series 7, 24, 53 required; Series 63/65/66 preferred.
• Minimum 5 years in a leadership role.

Aufgaben

• Provide vision and strategic planning for the enterprise and function.
• Develop direct reports through coaching and career development.
• Oversee ESI Suitability Review unit and adherence to Written Supervisory Procedures.
• Build cross-functional partnerships to deliver results and manage risk.
• Direct amendment/creation of ESI forms for new business and ongoing transactions.

Kenntnisse

Leadership

Strategic planning

People development

Regulatory discipline

Ausbildung

Bachelor’s Degree

Tools

Series 7

Series 24

Series 53

Jobbeschreibung

National Life Group invites applications for the AVP, Suitability Review, a leadership role overseeing the ESI Suitability Review unit. You will guide strategic planning, risk management, and process improvements while maintaining compliance with applicable rules and company policies.

The role emphasizes staff development, cross-functional collaboration, and timely, accurate reviews. Strong leadership, regulatory knowledge, and FINRA licensing are essential for success.