Director - Advisory Operations

National Life   •  

Montpelier, VT

Industry: Insurance


5 - 7 years

Posted 394 days ago


Seeking a highly motivated individual to manage the day-to-day operations of the Equity Services Inc. (ESI) Advisory Operations team.  The ideal leader will be customer experience focused, have prior work with managed account platforms, in-bound phone queues and order entry/trading as well as the new account set-up and maintenance processes.

Key Responsibilities

  • Monitor the daily operation and duties of the advisory operations team
  • Monitor equity, mutual fund and fixed income transactions to ensure timely and accurate entry and processing;
  • Monitor new advisory account set-up, implementation and daily maintenance processes such as deposits, journals, goal modifications, etc.
  • Mentor, develop and train the operations staff while remaining an integral part of the business;
  • Ensure the team’s delivery of timely and accurate phone support to the field;
  • Make recommendations to improve advisory processing in the most efficient manner;
  • Educate registered investment advisors with regard to managed account best practices;
  • Be the first point of contact for the escalation of field concerns and trade corrections; research and resolve problems with trades, reporting, fees and administration;
  • Be an active participant in the relationship with Envestnet and separate account money managers;
  • Manage advisory exception reports in compliance with applicable securities industry rules and regulations.
  • Collaborate with internal departments and customers as needed
  • Serve as an additional management review resource for the Suitability Team


  • 5-10 years of experience, preferably in Advisory Operations, Trading and Service
  • Bachelor’s degree in related field
  • Must have a proficiency in Microsoft Office Suite
  • FINRA Series 7. 63, 65/66 and 24 licenses
  • Ability to meet established deadlines; must be a self-starter and be able to work independently as well as being a team player
  • Demonstrated customer service skills
  • Excellent written and verbal communication skills required
  • Ability to work in a fast-paced environment; strong organizational skills a must

Equity Services, Inc., Member FINRA/SIPC, is a Broker/Dealer and Registered Investment Adviser.

National Life Group® is a trade name representing various affiliates, which offer a variety of financial service products. Equity Services, Inc. is a member of National Life Group.

National Financial Services, LLC and Envestnet are independent of Equity Services, Inc.