ESI Associate Vice President, Suitability Review

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

Role Summary

The AVP, Suitability Review, leads the team responsible for evaluating and supporting suitability decisions across ESI. This highly visible role brings together sound judgment, regulatory discipline, operational leadership, and people development to ensure suitability reviews are completed accurately, efficiently, and in accordance with applicable requirements.

Success in this role requires building a highly capable and engaged team that demonstrates critical problem solving/prevention in suitability review. The leader ensures that all work is processed timely, accurately and in accordance with applicable rules, regulations and Company requirements.  Additionally, the leader ensures that stakeholders are kept pro-actively informed during the process and that decisions are communicated in an effective manner. This leader will cultivate a culture of continuous learning and process improvement and will inspire the department to expand their teams’ capabilities.  The successful candidate will empower their leaders and associates and build trust with them to deliver on the promise our company represents.  This role will report to the Senior Vice President, ESI Operations.

Roles and Responsibilities 

• Provide vision, strategic planning insight and thoughtful solutioning expertise for the enterprise and functional group in a collaborative and positively differentiating way
• Support the development of direct reports by fostering and supporting career development, motivating, engaging and capitalizing on employee strengths
• Oversee the ESI Suitability Review unit, including responsibility for ensuring the firm’s Written Supervisory Procedures are followed regarding the review and acceptance of new accounts and daily transactions.
• Build cross-functional partnerships with other business units and teams throughout the organization, including Distribution, Compliance, Legal, Technology, CIG, ESI New Business, ESI Brokerage, to deliver on business results and manage risk.
• Establish a highly effective and highly engaged team, with positive morale
• Work in partnership with members of ESI senior leadership team to ensure priorities are clear and are in line with business strategies 
• Provides direction on issue resolution and coaches on complex decisions with a bias towards root cause analysis
• Prioritize, manage and oversee technology and other projects to improve departmental efficiency. Work closely with technology and service vendors to ensure requirements and service standards and are met.
• Direct the amendment and creation of ESI forms related to new business and ongoing transactions, necessary to demonstrate compliance with rules, regulations and Company policies.
• Serve as a point of escalation for jumbo cases, complex suitability issues and field conflict situations. Serve as back-up for the review and principal approval of new accounts and transactions, as necessary.
• Work closely with internal and external auditors to provide requested documentation and support as requested.

Job Requirements 

• Bachelor’s Degree
• 10+ years of industry experience in Suitability and Broker-Dealer Operations.
• Current/active FINRA Series 7, 24, and 53 required. Series 63,65/66 preferred.
• Minimum of 5 years in a leadership role, operational and/or customer service experience management preferred
• A high level of attention to detail and strong people skills
• Must be able to manage competing demands while being extremely adaptable and flexible
• Must have excellent professional presentation and interpersonal skills, and the ability to interact and engage all levels of management/leadership
• Must be able to pass a background check 

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.

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!