National Life
ESI Associate Vice President, Suitability Review
$111K–$162K
Addison, TX +5 · Remote · Director · Full-time · Posted Oct 26, 2026
- Location
- Addison, TX
Montpelier, VT
Remote, USA
Addison, TX
Montpelier, VT
Remote, USA - Experience
- 10+ years of industry experience in Suitability and Broker-Dealer Operations; minimum 5 years in a leadership role is stated as preferred.
- Education
- Bachelor’s Degree
- Visa sponsorship
- No visa sponsorship offered.
About the job
Leads ESI’s Suitability Review unit, overseeing suitability decisions, regulatory compliance, team development, and process improvement.
What you'll do
- Oversee reviews of new accounts and daily transactions to ensure Written Supervisory Procedures and applicable requirements are followed.
- Lead and develop the team, resolve complex suitability issues, and communicate decisions and process updates to stakeholders.
- Manage cross-functional partnerships, audits, forms, and technology or other projects that improve departmental efficiency.
What they ask for
- Bachelor’s Degree
- 10+ years of industry experience in Suitability and Broker-Dealer Operations.
- Current/active FINRA Series 7, 24, and 53.
- Must be able to pass a background check.
Nice to have
- Series 63,65/66 preferred.
- Minimum of 5 years in a leadership role; operational and/or customer service experience management preferred.
Pay
$110,625 — $162,250 USD (base salary)
AI focus
Expected to use approved AI tools where appropriate to improve work efficiency, quality, and impact; review and validate AI-generated content; and follow company policies and AI guiding principles.
Model-written summary · the original posting is authoritative