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Broker Dealer Compliance Consultant

Company: Allstate
Location: Lincoln
Posted on: July 15, 2019

Job Description:

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 DescriptionWork with Suitability and Best Interest team to review activity and monitor for best interest compliance of customer accounts. Oversee implementation and project management of new laws. Serve as primary compliance owner of issues related to qualified plans. Manage privacy and records retention policies and procedures in accordance with regulatory requirements.? Work with System Support to assist with vendor management.? Key Responsibilities Best Interest Oversight

Monitor registered representative adherence to best interest standards through quality verification of Suitability and Best Interest team?s reviewsAssist in surveillance and monitoring to ensure that controls are in place to prevent conflicts of interestRegulation and New Laws
Participate in cross functional team to ensure that policies and procedures impacted by new laws are implemented as requiredUse the Allstate Portfolio Management Tool (PMT) for new law project managementQualified Plans
Establish and monitor compliance with policies and procedures specific to ERISA and qualified businessPartner with the Retirement Sales Support team for qualified plan related compliance procedures?Key Responsibilities (Cont'd)Investment Advisor
Maintain and monitor compliance with policies and procedures for Allstate Financial AdvisorsAct as the compliance liaison for matters concerning investment advisory businessPrivacy
Serve as Privacy Coordinator Assist with implementation and monitoring of the broker-dealer?s cybersecurity program and controlsRecords Retention
Serve as the Record Information Management CoordinatorMaintain records retention scheduleVendor Management
Assist with the firm?s annual service organization control (SOC) reviewsSupport the compliance testing function for vended and internal applicationsAssist with vendor risk assessments and contract requirementsJob Qualifications
  • 2-4 years of experience in broker-dealer operations or compliance preferred
  • Familiarity with SEC and FINRA rules, knowledge of ERISA and qualified retirement plans preferred
  • College degree in related field preferred
  • FINRA Series 6 and 26 required, Series 7 and 24 preferred, or the ability to acquire in the timeframe set ?? forth by Allstate Financial Services, LLC
  • Proficient in Microsoft Office ? specifically Word, Excel, PowerPoint and Outlook
  • Good interpersonal communication skills
  • Detail oriented with the ability to identify issues that require further investigation
  • Ability to work with employees at all levels of the organizationThe 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.Learn more about life at Allstate. Connect with us on Twitter, Facebook, Instagram and LinkedIn or watch a video.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.?

    For jobs in San Francisco, please click?"here"?for information regarding the San Francisco Fair Chance Ordinance.?For jobs in Los Angeles, please click?"here"?for information regarding the Los Angeles Fair Chance Initiative for Hiring Ordinance.
    It is the Company?s policy to employ the best qualified individuals available for all jobs. Therefore, any discriminatory action taken on account of an employee?s ancestry, age, color, disability, genetic information, gender, gender identity, gender expression, sexual and reproductive health decision, marital status, medical condition, military or veteran status, national origin, race, religion (including religious dress), sex, or sexual orientation that adversely affects an employee's terms or conditions of employment is prohibited. This policy applies to all aspects of the employment relationship, including, but not limited to, hiring, training, salary administration, promotion, job assignment, benefits, discipline, and separation of employment

Keywords: Allstate, Lincoln , Broker Dealer Compliance Consultant, Professions , Lincoln, Nebraska

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