Broker Dealer Compliance Consultant II

Job not on LinkedIn

🔥 0 minutes ago

🇺🇸 United States – Remote

💵 $56k - $92k / year

⏰ Full Time

🟠 Senior

🔴 Lead

🚔 Compliance

🦅 H1B Visa Sponsor

This company has sponsored H1B visas in the past.

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Allstate

WebsiteLinkedInAll Job Openings

10,000+ employees

Founded 1931

💼 Consulting

📦 Logistics

🛡️ Insurance

💰 Post-IPO Equity on 2014-01

Consulting • Logistics • Insurance

Allstate is an industry leader in providing insurance solutions, focusing on home, auto, device, and identity protection. With a commitment to customer well-being, Allstate aims to instill peace of mind and financial security for its customers. The company also emphasizes community impact and sustainability through various initiatives, showcasing their dedication to social responsibility and positive change.

📋 Description

• Serve as a subject matter expert for securities registration, insurance licensing, appointments, and representative onboarding processes • Provide guidance and respond to inquiries regarding FINRA, SEC, state securities, and state insurance regulations • Coordinate and oversee representative onboarding, including registration, licensing, appointment, affiliation, and background screening requirements • Identify operational risks, process gaps, and business opportunities and develop scalable solutions • Lead development, implementation, documentation, and continuous improvement of compliance and onboarding processes • Monitor, maintain, and report on registration, licensing, appointment, and onboarding systems • Partner with field leadership, compliance, operations, technology teams, carriers, and external vendors on business initiatives and complex matters • Analyze trends, data, and operational metrics to identify risks and recommend process improvements • Communicate policies, procedures, regulatory requirements, and process changes; provide training, consultation, and guidance • Respond to representative, customer, leadership, regulatory, and vendor inquiries • Support quality standards, service-level agreements, productivity goals, and customer service expectations • Complete special projects, strategic initiatives, and other assigned duties

🎯 Requirements

• FINRA Series Industry Exam (SIE), Series 6, 26 and 63 required or the ability to acquire within the timeframe set forth by AFS, LLC • 4 or more years of experience in broker-dealer registration, insurance licensing, compliance, onboarding, financial services operations, or a related field preferred • Experience interpreting and applying FINRA, SEC, state securities, and state insurance regulations preferred • Demonstrated experience leading projects, implementing process improvements, and managing regulatory or operational initiatives • Experience with registration, licensing, onboarding, and appointment systems such as FINRA CRD, RegEd, NIPR, Sircon, and related industry platforms preferred • Strong analytical, problem-solving, organizational, communication, and stakeholder management skills • Ability to manage multiple priorities and work independently in a dynamic and evolving environment • Background investigation required • Reliable internet with minimum speeds of 50 MB download and 5 MB upload • Dedicated, private workspace free from distractions, with appropriate desk and seating • Allstate generally does not sponsor individuals for employment-based visas for this position

🏖️ Benefits

• Comprehensive technology setup including a laptop, monitors, headset, keyboard, and mouse • Monthly connectivity reimbursement to help offset internet costs for employees eligible to work from home • Fully remote work arrangement

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