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Leads ESI’s Suitability Review unit, ensuring new accounts and transactions comply with written supervisory procedures, regulations, and company policies. Oversees complex suitability decisions, escalations, audits, process improvements, forms, technology projects, vendors, and cross-functional risk management. Develops leaders and associates while promoting accuracy, efficiency, continuous learning, and strong stakeholder communication.

Manages operational relationships with assigned insurance distribution partners, overseeing onboarding, business readiness, adoption, issue resolution, governance, and continuous improvement. Connects partners with service and operations teams, coordinates cross-functional support, analyzes performance and feedback, develops readiness plans and business cases, and communicates risks and recommendations to senior stakeholders. The role supports partner retention, growth, field effectiveness, and improved ease of doing business.

Reviews and approves broker-dealer and investment adviser accounts and transactions involving annuities, mutual funds, 529 plans, and advisory business. Analyzes complex securities transactions, manages escalated field discussions, reviews trade blotters, conducts follow-up, delivers suitability training, drafts communications, supports representatives and clients, and implements process improvements.

Process and manage life insurance applications end-to-end, assess medical/nonmedical/financial risk, communicate with agents via phone/email/CRM, resolve application issues, and collaborate with the team to deliver accurate, timely customer service.