Senior Director, Suitability – Broker-Dealer

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

Job summary

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

Qualifications

• 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.

Responsibilities

• 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.

Skills

Strong communication

Financial services experience

Analytical thinking

Team collaboration

Education

Bachelor’s degree

FINRA Series 7 license

FINRA Series 24 license

Job description

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