ESI Director, Suitability
About the role
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.
Note: Visa sponsorship is not offered for this position.