Suitability Review Principal

National Life   •  

Montpelier, VT

Industry: Financial Services

  •  

5 - 7 years

Posted 393 days ago

Summary

 

This position is responsible for suitability review and approval of Direct Business cases and brokerage account activity.  Analyzes complex securities transactions and handles challenging conversations with the field force.

 

Key Responsibilities

 

  • This position is responsible for providing superior service to the Registered Representatives of Equity Services, Inc. (ESI) and their clients.

  • This individual will be responsible for prompt and accurate review of new business cases and subsequent transactions submitted by registered persons of ESI, and will perform in-depth case review and documentation within the established time constraints.

  • Systematic review and approval of daily Trade Blotter & Breakpoint Monitor reports.

  • The individual in this position should have experience reviewing business in a Principal capacity for both business held directly with the investment companies as well as those on a brokerage platform.

  • Post transaction follow up to aid in resolution of outstanding items.

  • Provide quality internal and external support to help facilitate ease of doing business.

  • The individual in this position will be responsible for making presentations as needed internally and externally.

  • Perform training regarding suitability.

  • Create draft operational Field Notices.

Requirements

  • 7years of Financial Services experience
  • Bachelors DegreeRequired
  • FINRA Series 7, 24, 53
  • Strong background in customer service with the ability to handle difficult conversations.
  • Demonstrated ability to perform quality work in a fast-paced environment, be a team player that is able to work well with individuals at all levels of the organization.
  • Superb interpersonal, time management, communication and organizational skills are also required.
  • Ability to pass background and fingerprint check

 

National Life Group® is a trade name representing various affiliates which offer a variety of financial service products. These affiliates include National Life Insurance Company (NLIC), Montpelier, VT; Life Insurance Company of the Southwest (LSW), Addison, TX; Equity Services, Inc. (ESI), Member FINRA/SIPC, a Broker-Dealer and Registered Investment Adviser affiliate of NLIC; and Sentinel Investments® , which is the unifying brand name for Sentinel Financial Services Company, distributor of the Sentinel Funds, Sentinel Asset Management, Inc. and Sentinel Administrative Services, Inc. LSW is not an authorized insurer in New York and does not conduct insurance business in New York. Each company of the National Life Group is solely responsible for its own financial condition and contractual obligations.

TC97385