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Job ID :
93645
Location :
Houston, TX US
Level :
Manager
Job Category :
Project management
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

Field Compliance Principals provide guidance and expertise to ensure that Allstate registered representatives and all affiliated persons act in accordance with regulatory requirements.

 

Provides 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

  • Audit securities activities of registered representatives to confirm adherence with internal policies and procedures.
  • Monitors communications related to securities.
  • Provides initial training to registered representatives
  • Monitor regulations and compliance updates
  • Acts as a source of regulatory information for field and supervisory personnel.
  • Assists Chief Compliance Officers of other subsidiaries of Allstate Financial with projects as needed.

 

Support Compliance Initiatives

  • Responsible for review of special supervisory procedures for registered representatives.
  • Acts as the local AFS compliance resource and trainer to other supervisory principals and other registered representatives in order to facilitate compliance with applicable laws and regulations.
  • Assists with any compliance-related projects as directed.

 

Process Information

  • Integrate and analyze data to reach conclusions and make recommendations
  • Determine sources for gathering information
  • Edit documents for content, accuracy, and completion

 

Job Qualifications

  • FINRA 7 and 24 required or the ability to acquire in the timeframe set forth by the Allstate Broker Dealer.
  • 5 years’ experience in Compliance
  • College degree in related field preferred.
  • Proficient in Microsoft Office – specifically Word, Excel, PowerPoint and Outlook
  • Familiarity with FIS/SunGard products is helpful
  • Good interpersonal communication skills
  • Ability to work with employees at all levels of the organization
  • Ability to travel up to 30%

 


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.

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 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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