Broker Dealer Support Analyst

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 Description

The Broker Dealer Sales Support Department is the primary in-bound call and service center for the broker-dealer. It assists RR's and customers with all pre- and post-sale support via phone, e-mail, chat and fax. Primary oversight is the servicing of brokerage accounts and trading activity.

The senior analyst should be able to consistently provide prompt, friendly and knowledgeable pre-sale and post-sale service to AFS customers and representatives. They should strive to maintain high quality of work levels in addition to compliance with FINRA and SEC rules and regulations. This Senior Analyst level requires advanced knowledge with the ability to train personnel and be a go-to resource for all areas of BD Operations.

Key Responsibilities:

  • 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 PFR inquiries regarding them
  • Maintain accurate books and records
  • See that proper policies and procedures are being followed by team members-responsible for new and on-going product and procedural training
  • Promote and foster team, collaboration to provide ALR customers and representative outstanding service
  • Search for facts and provide accurate information by understanding ALR Policy and Procedures manual, compliance guidelines and organization structure
  • Communicate accurate information in regards to products, services, policies and procedures
  • Consistently ensure that brokerage accounts held through NFS are in good order including accurate beneficiary information, fee activity, handling unsecured debit amounts, low-balance clean-up and yearly management
  • Assist BD Support employees positively with all facets of their daily job functions including system and procedure assistance
  • Participate constructively in meetings and collaborate in good faith with other departments
  • Complete special projects and tasks as assigned by Unit Manger or Senior Leadership

Job Qualifications

  • Four year degree is preferred.
  • FINRA Series 7 and 63 are required or the ability to acquire in the timeframe set forth by the Allstate Broker Dealer.
  • Experience in broker-dealer operation and securities processing
  • Ability to motivate and provide expert-level assistance to individuals
  • Excellent verbal communication skills, outstanding customer service ability
  • Knowledge of securities industry; including books and records, rules and regulations, product types and market trading functionality
  • Computer experience; including electronic correspondence, word documents, spreadsheets, databases
  • Analytical and problem solving skills
  • Ability to work independently and as a team in making decisions in-line with organizational goals and expectations
  • 0-2 years of equivalent experience

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.

For jobs in San Francisco, please see the notice regarding the San Francisco Fair Chance Ordinance.

For jobs in Los Angeles, please seethe notice regarding the Los Angeles Ordinance.

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.

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