Associate Vice President, Suitability Review

This is a fully remote position, open to applicants in Texas, +1 more state.

📋 Description

• Lead the team tasked with assessing and supporting suitability decisions within ESI.

• Ensure that suitability evaluations are precise, prompt, and adhere to relevant regulations, rules, and company standards.

• Provide vision, strategic planning insights, and expertise in solution development.

• Foster career development, motivation, and engagement among direct reports while leveraging employee strengths.

• Supervise the ESI Suitability Review unit and guarantee compliance with Written Supervisory Procedures for new accounts and daily transactions.

• Build collaborative partnerships across Distribution, Compliance, Legal, Technology, CIG, ESI New Business, and ESI Brokerage.

• Cultivate a highly effective, engaged team that maintains positive morale.

• Collaborate with ESI senior leadership to align team priorities with overall business strategies.

• Guide issue resolution and mentor on complex decisions using root-cause analysis.

• Prioritize and manage technology and other projects aimed at improving efficiency.

• Work alongside technology and service vendors to fulfill requirements and service expectations.

• Oversee the modification and creation of ESI forms for new business and ongoing transactions.

• Serve as the escalation point for large cases, intricate suitability challenges, and field disputes.

• Provide backup review and principal approval for new accounts and transactions.

• Collaborate with internal and external auditors to provide necessary documentation.

⛳️ Requirements

• Bachelor’s Degree.

• Over 10 years of industry experience in Suitability and Broker-Dealer Operations.

• Must hold current/active FINRA Series 7, 24, and 53.

• Series 63, 65/66 is preferred.

• At least 5 years of experience in a leadership role.

• Management experience in operational and/or customer service settings is preferred.

• Exceptional attention to detail and strong interpersonal skills.

• Ability to handle competing demands while remaining adaptable and flexible.

• Outstanding professional presentation and interpersonal capabilities.

• Capacity to engage and interact with all levels of management and leadership.

• Must successfully pass a background check.

• No visa sponsorship available.

• Responsible use of approved AI tools in line with company policies.

🏝️ Benefits

• Flexible and customizable benefits available from day one.

• Comprehensive medical benefits.

• Eligibility for a 401(k) plan.

• Paid vacation, sick leave, and parental leave.

• Possible eligibility for discretionary annual incentive programs.

• Paid time off for volunteer work.

• Environmentally sustainable and healthy workplace environments.

• Employee events that encourage nonprofit engagement.

• Opportunities for career advancement.