Business Risk Associate

The National Life Group® is a dynamic and growing family of financial service companies, unified in fundamental values and purpose, but differentiated by specialty, structure and size.  Companies within the National Life Group operate from locations throughout the Unites States and offer products and services, which help a broad spectrum of individuals, and businesses meet their financial goals.  Despite the growth and expansion that have helped define the enterprise success, the National Life Group has continued to hold to the primary mission articulated and embraced by the founding entity in 1850: A dedication to serve its customers with the highest degree of quality, integrity and commitment.

Business Risk Associate

Reporting to Director, Securities Operations

Equity Services, Inc.

 

Responsibilities:

The individual in this position will be responsible for reviewing the suitability and investment appropriateness of all firm trading and account activity.  This will include activity executed through both the broker dealer and the investment advisor.  The incumbent will monitor trading and account activity as detailed in the firm’s written supervisory procedures to assist the firm in executing those procedures and in complying with regulatory rules and mandates.  This position is responsible for providing superior service to the Registered Representatives of Equity Services, Inc. (ESI) and their clients.  The services include, but are not limited to, account set-up and order processing for various investment products offered through ESI, as well as responding to phone and email inquiries.  The individual in this position will also be called upon to learn all aspects of processing securities business directly with investment companies, as well as by the use of a brokerage platform.

 

Qualifications:

The individual in this position must be Series 24 licensed and may be asked to take additional examinations as deemed necessary.  A bachelor’s degree or a minimum of two year’s experience with a financial services organization is required.  The incumbent will be a professional with a strong background in customer service.  To be considered the candidate will need to demonstrate the ability to perform quality work in a fast-paced environment and must be a team player that is able to work with individuals at all levels of the organization.  Superb interpersonal, communication, and organization skills are also required.

We offer an excellent working environment with a competitive benefits package. If interested in this position, please send resume and cover letter to:

National Life Group
Human Resources
One National Life Drive
Montpelier, VT 05604
FAX: (802) 229-3313
email: resumes@nationallife.com