Broker Dealer Compliance Senior Consultant I

May 27, 2026

At Allstate, great things happen when our people work together to protect families and their belongings from life’s uncertainties. And for more than 90 years, our innovative drive has kept us a step ahead of our customers’ evolving needs. From advocating for seat belts, air bags and graduated driving laws, to being an industry leader in pricing sophistication, telematics, and, more recently, device and identity protection. Job DescriptionThe Allstate Financial Services Principal Review Department is responsible for reviewing all securities transactions submitted by Allstate Registered Representatives, to ensure that suitability and best interest guidelines are met and properly documented into the Broker Dealer’s Books & Records.We are hiring a Broker Dealer Compliance Sr. Consultant I and Series 6 or 7 are required for the role. This position will review all account documents and transactions submitted by registered representatives, for client suitability and best interest utilizing defined parameters. Provide feedback regarding the registered representatives' adherence to these parameters. Ensure that all required documents are on file and completed accurately. Approve all transactions and new accounts as Principal of the Firm. Key Responsibilities:<ul><li>Review new accounts to determine client suitability and best interest utilizing firm documents and defined parameters. Approve or reject trades and transactions as a Principal of the Firm. </li></ul><ul><li>Communicate via phone or e-mail with registered representatives' suitability and best interest concerns or to discuss the rationale behind the transaction to help aid in the review. If a transaction is questionable, we must be able to discuss with the Registered Representative alternative investment strategies that may be more compatible with the customers' needs. </li></ul><ul><li>Educate registered representatives on paperwork procedures, product knowledge and best interest documentation. </li></ul><ul><li>Knowledge of different account registration types, i.e., 403(b), IRA, Roth IRA, joint tenants, 401(k), UGMA/UTMA, 529 Plans, etc. </li></ul><ul><li>Knowledge of FINRA and SEC supervisory rules and obligations. </li></ul><ul><li>Approve or reject applications based on analysis of information provided; requires good independent judgment based on product knowledge, company guidelines, and securities regulation. Document decisions made in the file for FINRA or auditing purposes. </li></ul><ul><li>Reconcile transactions to those approved on the front-end. </li></ul><ul><li>Contact agents via phone or written correspondence if trade is being rejected. Must be able to do this in an informative and non-threatening manner. </li></ul><ul><li>Communicate with Sales Managers and Field Compliance Officers on any questionable transactions involving a Registered Representative. Notify Sales Managers if a Registered Representative needs additional product training.</li></ul>Qualifications: <ul><li>Knowledge of and ability to recognize FINRA violations such as churning, breakpoint sales, and switching. Must also have the ability to discuss with Registered Representatives/Sales Management/Compliance Officers effectively in relation to these issues. </li></ul><ul><li>Expert knowledge of all investment products: mutual funds, variable annuities, fixed annuities, variable life, stocks, bonds, RIA, unit investment trusts and 529 plans. </li></ul><ul><li>Expert knowledge of the AFS Product Shelf, especially regarding the annuity products we offer. </li></ul><ul><li>Ability to analyze the customer’s personal information: risk tolerance, age, liquidity needs, investment experience, tax status, time horizon, investment objectives, financial situation, and other holdings. </li></ul><ul><li>Strong written communication skills; must ensure that a third party can readily determine the basis and reasoning of the acceptance or rejection of the transaction. Periodic reviews will determine accuracy and completeness. </li></ul><ul><li>Requires FINRA Series 6 or 7 Securities License. The appropriate FINRA Principal license(s) is also required within 90 days of hire (Series 24/26 and 51/53.) </li></ul><ul><li>Requires 3 years of financial services experience, prefers sales or suitability analysis experience. </li></ul><ul><li>High school diploma required </li></ul><ul><li>Moderate Microsoft Applications experience (Word, Excel, Outlook) </li></ul><ul><li>Advanced communication and presentation skills </li></ul><h3>Education & Experience (in lieu)</h3>• In lieu of the above education requirements, an equivalent combination of education and experience may be considered.SkillsBroker Dealer Services, Compliance, FINRA Regulations, Investment Products, Process Improvements, Reasoning, SEC Regulations, Securities Compliance, Securities LawsCompensationCompensation offered for this role is 65,600.00 - 110,075.00 annually and is based on experience and qualifications.The candidate(s) offered this position will be required to submit to a background investigation. Joining our team isn’t just a job — it’s an opportunity. One that takes your skills and pushes them to the next level. One that encourages you to challenge the status quo. One where you can shape the future of protection while supporting causes that mean the most to you. Joining our team means being part of something bigger – a winning team making a meaningful impact.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 “<a href="https://www.sf.gov/information--fair-chance-ordinance" target="_blank" rel="noopener noreferrer">here</a>” for information regarding the San Francisco Fair Chance Ordinance. For jobs in Los Angeles, please click “<a href="https://urldefense.com/v3/__http:/bca.lacity.org/fair-chance__;!!IIU9BLNPZ2ob!Px2f9XWyJzj2IYSNKd2yIt3iNCquNTBdKl01sufyLfNQeN2bGNbgHXw7_TJg-F4Jn0T0dUxP7CPzLzPNxYo1my6fcA$" target="_blank" rel="noopener noreferrer">here</a>” for information regarding the Los Angeles Fair Chance Initiative for Hiring Ordinance.To view the “EEO Know Your Rights” poster click “<a href="https://www.eeoc.gov/know-your-rights-workplace-discrimination-illegal" target="_blank" rel="noopener noreferrer">here</a>”. This poster provides information concerning the laws and procedures for filing complaints of violations of the laws with the Office of Federal Contract Compliance Programs.To view the FMLA poster, click “<a href="https://urldefense.com/v3/__https:/www.dol.gov/whd/regs/compliance/posters/fmlaen.pdf__;!!IIU9BLNPZ2ob!Px2f9XWyJzj2IYSNKd2yIt3iNCquNTBdKl01sufyLfNQeN2bGNbgHXw7_TJg-F4Jn0T0dUxP7CPzLzPNxYqw_mTXJA$" target="_blank" rel="noopener noreferrer">here</a>”. This poster summarizing the major provisions of the Family and Medical Leave Act (FMLA) and telling employees how to file a complaint.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 (include traits historically associated with race, including, but not limited to, hair texture and protective hairstyles), 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. 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.

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