Broker-Dealer Trade & Sales Support Analyst II

Allstate Corporation; Illinois; Hybrid; USD 50,000 - 75,000; Full time

Benefits offered by this job

Allstate provides a comprehensive tech

Monthly connectivity reimbursement

Job summary

Allstate's Broker Dealer Sales Support team seeks a detail-oriented professional to handle inbound calls and service brokerage accounts, execute trades across funds, equities, ETFs, and fixed income, and coordinate with the clearing firm. You will ensure FINRA compliance, process account documentation, and support PFRs and clients through the trading lifecycle.

Ideal candidates have FINRA SIE/Series 7/63 or the ability to obtain them, strong communication skills, and a team-focused mindset.

Qualifications

• FINRA Series Industry Exam (SIE), Series 7 and 63 required or the ability to acquire in the timeframe set forth by AFS, LLC.
• Excellent verbal communication skills and outstanding customer service ability
• Knowledge of securities industry, including books and records, rules and regulations, product types and market trading functionality
• Analytical and problem-solving skills
• Ability to work independently and as a team in making decisions in-line with organizational goals and expectations
• Bachelor's degree preferred
• Regular, predictable attendance is an essential function of this job

Responsibilities

• Handle pre- and post-sale calls and requests from customers and PFRs on all direct mutual fund, annuity, variable life insurance accounts, as well as managed and brokerage accounts held at our clearing firm
• Place trades on mutual funds, equities, ETFs, Unit Investment Trusts, and Fixed Income securities for customers and PFRs—requiring detailed knowledge of all NFS trading platforms and market dynamics
• Serve as liaison between PFR and clearing firm working directly with NFS on accounts
• Ensure compliance with FINRA books and records requirements, respond to internal and regulatory audit requests and update procedures
• Oversee movement of assets and cash via journals, EFTs, Wires and check requests
• Educate PFRs and customers on documentation requirements and technology platforms for new account openings and servicing
• Facilitate death-claims by establishing estate or beneficiary accounts and following proper protocol
• Analyze asset transfers on the NFS platform and coordinate with NFS and PFRs for compliant transfers
• Maintain records for all brokerage accounts to ensure compliance with policies and FINRA requirements
• Analyze, review, and approve/reject required paperwork and legal documentation related to account ownership and servicing
• Complete special projects and tasks as assigned by Manager or Senior Leaders

Skills

Account Management

Policy Interpretation

Procedure Training

Sales Support

Team Collaboration

Education

FINRA Series Industry Exam (SIE)

Series 7

Series 63

Job description

Allstate's Broker Dealer Sales Support team seeks a detail-oriented professional to handle inbound calls and service brokerage accounts, execute trades across funds, equities, ETFs, and fixed income, and coordinate with the clearing firm. You will ensure FINRA compliance, process account documentation, and support PFRs and clients through the trading lifecycle.

Ideal candidates have FINRA SIE/Series 7/63 or the ability to obtain them, strong communication skills, and a team-focused mindset.