ESI Director, Suitability

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

📋 Description

• Evaluate and authorize broker-dealer and investment adviser accounts and their transactions.

• Assess intricate securities transactions and engage in discussions regarding escalated cases with the field team.

• Review new business activities and subsequent transactions that involve annuities, mutual funds, 529 plans, and advisory services.

• Provide assistance to ESI Registered Representatives and their clientele.

• Conduct thorough case reviews and maintain documentation within predetermined timeframes.

• Offer effective solutions for sensitive case-review scenarios.

• Review and approve the daily Trade Blotter and comparable reports.

• Perform post-transaction follow-ups to address unresolved issues.

• Provide support for both internal and external stakeholders.

• Deliver presentations and suitability training for both internal and external audiences.

• Identify and execute process enhancements.

• Draft communications for the field.

• Execute additional responsibilities as assigned.

⛳️ Requirements

• Bachelor’s degree required.

• A minimum of 10 years in the financial services industry.

• At least 8 years of experience in conducting suitability reviews for broker-dealer and advisory businesses.

• Must possess FINRA Series 7 and 24 licenses.

• Strong understanding of annuity products is essential.

• Proven background in customer service with the ability to navigate challenging conversations.

• Capable of complex problem-solving in uncertain situations.

• Ability to think independently and diplomatically challenge others’ views.

• Proven ability to deliver quality work in a dynamic environment and collaborate effectively with individuals at all levels of the organization.

• Excellent interpersonal, time management, communication, and organizational abilities.

• Must successfully pass a background and fingerprint check.

• Visa sponsorship is not available.

• Preferred: FINRA Series 53.

• Proficient in the responsible use of approved AI tools and validating AI-generated content.

🏝️ Benefits

• Benefits commence on the first day and can be tailored to meet your and your family’s specific requirements.

• Medical benefits are included.

• Eligibility for 401(k) participation.

• Vacation, sick leave, and parental leave are provided.

• Eligibility for discretionary annual incentive programs.

• Paid time off for volunteering.

• Environmentally sustainable and healthy workplace initiatives.

• Opportunities for professional growth.

• Access to AI tools and AI-enabled working methods.