Broker-Dealer Operations Transitions
- Career Level
- Not Specified
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.
The Associate III is responsible for processing agent change requests, book-of-business sales, and all other PFR reassignment requests. They must strive to maintain high standards of quality, comply with FINRA and SEC rules while also ensuring accurate books and records requirements.
- Review work items for completeness and adherence to company policies and FINRA guidelines.
- Process all types of PFR changes as per departmental guidelines
- Ensure that changes have been sent to the correct product provider
- Adhere to B/D Transitions service level agreements for agent changes, book-of-business sales, and PFR re-assignments
- Conduct effective communication with Regional Leaders and Internal home office teams to clarify or complete account information
- Know and follow FINRA and SEC rules and regulations
- Work overtime as needed
- Ability to perform somewhat complex activities requiring knowledge of the Allstate agency business model
- Skill in collecting and organizing materials
- Excellent communication skills
- Ability to verify accuracy of work using available computer tools, maps and other resources
- 2 years financial related experience preferred
- Ability to work independently
- High School Diploma required
- Moderate experience with Microsoft applications (Word, Excel, Outlook) required
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.
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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.