ESI Director, Suitability

About the role

Since 1848, National Life Group has aimed to keep our promises, providing families with stability in good times and in bad. 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.

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.

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

Schedule

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 (Monday, Tuesday, Wednesday, and Thursday). The work schedule type and core days are subject to change with advance notification and manager discretion.

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.

Qualifications

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