Broker Dealer Compliance Registration Associate

Lincoln, Nebraska
Not Specified
Oct 07, 2016
Dec 06, 2016
Job Type
Not Specified
Career Level
Not Specified

Where good people build rewarding careers.

Think that working in the insurance field can't be exciting, rewarding and challenging? Think again. You'll help us reinvent protection and retirement to improve customers' lives. We'll help you make an impact with our training and mentoring offerings. Here, you'll have the opportunity to expand and apply your skills in ways you never thought possible. And you'll have fun doing it. Join a company of individuals with hopes, plans and passions, all using and developing our talents for good, at work and in life.

Job Description

The Broker Dealer Compliance Registration Department works closely with Allstate Agents and Financial Specialists (Agents) to initiate and maintain their individual and branch registrations with ALR Distribution through FINRA and the states. The department must work closely with the Allstate Regional offices and the Agents to make sure the data provided FINRA and the states is complete, accurate and timely.

This position researches disclosure issues, responds to inquiries, and supports the team in the business processes. Additionally, this position reviews the submitted forms for completeness, looking for any possible issues prior to submitting to FINRA. They must follow up with the region and agents to obtain any missing or usual details.

Key Responsibilities:

  • Continuously monitor, maintain, and report on systems that are maintained and utilized by AFS Registration
  • Document and execute routine processes with minimal supervision.
  • Promptly respond to customer inquiries.
  • Understand and communicate policies, procedures, or practices to team members.
  • Identify and implement process improvements.
  • Communicate field and departmental issues to management.
  • Ensure that team goals are met; including standards for quality, service-level agreements and utilization.
  • Demonstrate knowledge regarding SEC and FINRA rules and regulations in order to correctly respond to inquiries regarding them.
  • Maintain accurate books and records.
  • Ensure proper policies and procedures are being followed by team members.
  • Identify, create and deliver new and on-going procedural training.
  • Promote and foster team collaboration to provide customers and representative outstanding service.
  • Complete special projects and tasks as assigned.

Job Qualifications

  • FINRA Series 6 required or the ability to acquire in the timeframe set forth by the Allstate Broker Dealer.
  • 2+ years experience in the financial services industry
  • High School diploma and college degree preferred.
  • Requires prior broker/dealer experience
  • Organizational, attention to detail and accuracy
  • Strong written and verbal communication
  • Ability to perform complex activities requiring knowledge of the Allstate agency business model.
  • Ability to motivate and provide expert-level assistance to individuals
  • Excellent verbal communication skills
  • Knowledge of securities industry; including books and records, rules and regulations, product types and market trading functionality
  • Analytical and problem solving skills
  • Ability to work independently and as a team in making decisions in-line with organizational goals and expectations
  • Moderate experience with Microsoft Applications (Word, Excel, Outlook)
  • Moderate project management and presentation skills

The candidate(s) offered this position will be required to submit to a background investigation, which includes a drug screen.

Good Work. Good Life. Good Hands®.

As a Fortune 100 company and industry leader, we provide a competitive salary – but that's just the beginning. Our Total Rewards package also offers benefits like tuition assistance, medical and dental insurance, as well as a robust pension and 401(k). Plus, you'll have access to a wide variety of programs to help you balance your work and personal life -- including a generous paid time off policy.

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Allstate generally does not sponsor individuals for employment-based visas for this position.

Effective July 1, 2014, under Indiana House Enrolled Act (HEA) 1242, it is against public policy of the State of Indiana and a discriminatory practice for an employer to discriminate against a prospective employee on the basis of status as a veteran by refusing to employ an applicant on the basis that they are a veteran of the armed forces of the United States, a member of the Indiana National Guard or a member of a reserve component.

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It is the policy of Allstate to employ the best qualified individuals available for all jobs without regard to race, color, religion, sex, age, national origin, sexual orientation, gender identity/gender expression, disability, and citizenship status as a veteran with a disability or veteran of the Vietnam Era.