Field Compliance Principal
- Employer
- Allstate Insurance Company
- Location
- New Orleans, Louisiana
- Salary
- Not Specified
- Closing date
- Jan 27, 2019
View more
- Category
- Legal / Compliance, Operations
- Job Type
- Not Specified
- Career Level
- Not Specified
Job Details
Where good people build rewarding careers.
Think that working in the insurance field cant be exciting, rewarding and challenging? Think again. Youll help us reinvent protection and retirement to improve customers lives. Well help you make an impact with our training and mentoring offerings. Here, youll have the opportunity to expand and apply your skills in ways you never thought possible. And youll 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
Job Family Summary
Field Compliance Principals provide guidance and expertise to ensure that Allstate registered representatives, all affiliated persons and the broker dealer act in accordance with regulatory requirements.
Job Summary
Provides compliance and supervisory training and guidance to regional management and registered representatives to ensure strict adherence to broker/dealer policies and procedures as well as applicable FINRA (Financial Industry Regulatory Association), SEC (Securities and Exchange Commission), and state securities laws and regulations.
Key Responsibilities
Gather & Monitor Information pertaining to securities compliance
- Monitor regulations and compliance updates
- Acts as a source of regulatory information for registered representatives and supervisory personnel.
- Coordinate the review and approval of all securities related written and electronic communications with the public.
- Audits securities activities of registered representatives to confirm adherence with internal and regulatory policies and procedures.
- Review and monitor the registered representatives use of Social Media
Support Compliance Initiatives
- Conducts and manages field office inspections according to criterion.
- Responsible for review of special supervisory plans for registered representatives.
- Acts as the local AFS compliance resource and trainer to other supervisory principals and registered representatives in order to facilitate compliance with applicable laws and regulations.
- Assists with any compliance-related projects as directed.
Job Qualifications
- 5 years experience in Broker/Dealer Compliance
- College degree in related field preferred.
- FINRA Registrations: Series 7 and 24 required
- Proficient in Microsoft Office specifically Word, Excel, PowerPoint and Outlook
- Good interpersonal communication skills
- Ability to work with employees at all levels of the organization
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 thats 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, youll have access to a wide variety of programs to help you balance your work and personal life -- including a generous paid time off policy.
Learn more about life at Allstate. Connect with us on Twitter, Facebook, Instagram and LinkedIn or watch a video.
Company
- Website
- https://www.allstate.com/
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