ESI Director, Suitability
National Life Insurance Company · Remote · Addison, TX; Montpelier, VT; Remote, USA · $90k–$132k
Posted by National Life Insurance Company on their careers site · View the original posting
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Senior · asks for 10+ years
Open 21 days
Visa sponsorship: Says no sponsorship · This posting says it won't sponsor
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The posting, as National Life Insurance Company wrote it
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.
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 cust
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rs. 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.