Job Description
The Broker Dealer Compliance Registration Consultant II serves as a subject matter expert for securities registration, insurance licensing, appointments, and representative onboarding processes. This role combines strategic process development with operational execution and is responsible for identifying business opportunities, mitigating regulatory and operational risks, and developing scalable solutions that support organizational objectives.
The consultant collaborates with field leadership, compliance, operations, technology teams, and external business partners to improve registration, licensing, appointment, and onboarding programs while ensuring compliance with regulatory and corporate requirements.
Key Responsibilities
•Serves as a subject matter expert for securities registration, insurance licensing, appointments, and representative onboarding processes.
•Demonstrates knowledge of FINRA, SEC, state securities, and state insurance regulations to provide guidance, respond to inquiries, and support regulatory compliance.
•Coordinates and oversees the onboarding of representatives, ensuring registration, licensing, appointment, affiliation, and background screening requirements are completed accurately and within established service levels.
•Identifies operational risks, process gaps, and business opportunities and develops solutions that improve efficiency, scalability, compliance, and the representative experience.
•Leads the development, implementation, documentation, and continuous improvement of registration, licensing, appointment, onboarding, and related compliance processes.
•Monitors, maintains, and reports on registration, licensing, appointment, and onboarding systems to ensure accuracy, compliance, and operational effectiveness.
•Partners with field leadership, compliance, operations, technology teams, carriers, and external vendors to implement business initiatives and resolve complex registration, licensing, onboarding, and appointment matters.
•Analyzes trends, data, and operational metrics to identify emerging risks and recommend strategic solutions and process improvements.
•Communicates policies, procedures, regulatory requirements, and process changes to stakeholders and provides training, consultation, and guidance to representatives, field leadership, and home office partners.
•Responds to representative, customer, leadership, regulatory, and vendor inquiries in a timely and professional manner.
•Supports achievement of departmental quality standards, service-level agreements, productivity goals, and customer service expectations.
•Completes special projects, strategic initiatives, and other duties as assigned.
Certifications
•FINRA Series Industry Exam (SIE), Series 6, 26 and 63 required or the ability to acquire in the timeframe set forth by AFS, LLC.
Experience
•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.
Skills
Business Initiatives, Compliance, Compliance Monitoring, Insurance Administration, Insurance Regulations, Prioritization
Compensation
Compensation offered for this role is 56,000.00 - 92,000.00 annually and is based on experience and qualifications.
The candidate(s) offered this position will be required to submit to a background investigation.
Allstate generally does not sponsor individuals for employment-based visas for this position.
Work From Home Setup
Allstate provides a comprehensive technology setup, including a laptop, monitors, headset, keyboard, and mouse. Employees eligible to work from home also receive a monthly connectivity reimbursement to help offset internet costs.
When working from home, you must have a dedicated, private workspace free from distractions, along with appropriate desk and seating. Reliable internet is required, with minimum speeds of 50 MB download and 5 MB upload.
