Associate Vice President, Suitability Review Remote (anywhere in United States) + 2 more

The Company is seeking an Associate Vice President, Suitability Review, to lead a team responsible for accurate, timely, and compliant suitability decisions. The role oversees reviews of new accounts and ongoing transactions, escalates complex cases, and ensures stakeholders receive clear, proactive communication. Responsibilities include setting strategic direction, developing team members, strengthening cross-functional partnerships, and guiding issue resolution through root-cause analysis. The leader will also oversee process and technology improvements, maintain compliant forms and procedures, and coordinate with auditors. Candidates should have a bachelor’s degree, at least 10 years of experience in suitability and broker-dealer operations, and five or more years in a leadership role. Active FINRA Series 7, 24, and 53 licenses are required; Series 63, 65, or 66 are preferred. Strong attention to detail, interpersonal and presentation skills, adaptability, and the ability to manage competing priorities are essential. The role also calls for sound judgment, effective people leadership, and the ability to engage with stakeholders at all levels.

Hiring Company

National Life Group