Compliance Consultant

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 Description

The BD Compliance Complaints Senior Consultant II reviews and resolves customer complaints, ensures regulatory obligations are satisfied, participates in legal cases when required, and administers the Broker-Dealer disciplinary procedures.

Key Responsibilities

• Manages and maintains the Firm’s books and records

• Advises PFRs regarding Errors and Omissions (E&O) claims and works with E&O claims investigators to secure coverage for PFRs and the Firm

• Provides “on the record” testimony and sworn affidavits in arbitrations, mediations, and civil litigation cases when required

• Provides education to internal and outside counsel in firm policies, procedures, and products

• Participates in regulatory inspections of the Firm, interacts with regulators, and responds to inquiries

• Identifies and completes FINRA Rule 4530 and Form U4/U5 disclosure filing requirements

• Prepares responses and documentation for legal subpoenas and discovery requests

• Facilitates account adjustments, corrections, reimbursements, and settlement payments

• Prepares legal settlement agreements and negotiates with customers concerning complaint resolution

• Reviews and resolves customer complaints

Education

• 4 year Bachelors Degree (Preferred)

Experience

• 3 or more years of experience (Preferred)

Supervisory Responsibilities

• This job does not have supervisory duties.

Required Licenses

• FINRA Series 7 and 24

Skills

Compensation

Compensation offered for this role is $59,800.00 - 105,910.00 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. And one where you can impact the future for the greater good.  

You’ll do all this in a flexible environment that embraces connection and belonging. And with the recognition of several inclusivity and diversity awards, we’ve proven that Allstate empowers everyone to lead, drive change and give back where they work and live. 

Good Hands. Greater Together.

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.

To view the “EEO is the Law” poster click “here”. 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 “here”. 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.

Salary : $59,800 - $105,910