ESI Director, Suitability

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 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 in a fast-paced environment and to work well as a team player with individuals at all levels of the organization. 

• Superb interpersonal, time management, communication, and organizational skills. 

• Ability to pass a background and fingerprint check. 

 

Preferred Qualifications  

• FINRA Series 53  

 

 

AI Proficiency Expectations: 

At National Life Group, we view AI as an enabler of human potential. We use AI to help us work smarter, serve more clients, and keep our promises, while remaining a relationship-driven business where our people are our greatest strength. 

 

All applicants are expected to: 

• Leverage approved AI tools, where appropriate, to improve the efficiency, quality, and impact of their work. 

• Stay curious and open to new AI-enabled ways of working. 

• Exercise sound judgment by reviewing and validating AI-generated content. 

• Maintain accountability for the accuracy, quality, fairness, and integrity of work products by adhering to National Life's AI guiding principles. 

• Use AI responsibly and in accordance with company policies related to confidentiality, data privacy, security, compliance, retention, and intellectual property. 

 

Core Competencies 

Cultivates Innovation - Fosters innovation by taking calculated risks; Work cooperatively with others to produce innovative solutions. 

Ensures Accountability - Holds self and others accountable to meet commitments and performance goals. 

Directs Work - Provides direction, delegates, and removes obstacles to get work done. 

Demonstrates Emotional Intelligence - Exhibits the ability to recognize, understand, and manage emotions and how emotions can influence others; Uses a combination of feedback and reflection to gain productive insight into personal strengths and opportunities. 

Exhibits Critical and Creative Thinking - Engaging thinking skills that focus on logic and reasoning to make decisions (critical) and innovative solutions to solve problems (creative). 

Leads Change - Facilitates change and transition at the individual and team level; Develops strategic goals for aligning with change. 

Develops Talent - Builds team(s) equipped for the future by applying coaching techniques for developing team members to meet their professional/personal goals and the organizational goals; Listens and responds with empathy; Asks thought provoking questions. 

Inspires Others - Motivates and influences others by creating an environment where teams can do their best work; Partners across the organization to achieve results. 

Benefits

• Your benefits start day one and are flexible and customizable to your and your family’s specific needs. Check out the BENEFITS of a Career at National Life!