Brokerage Operations & Trade Support Analyst II

Allstate Private Limited; United States; Remote; USD 50,000 - 75,000; Full time

Job summary

Allstate is recruiting a Brokerage Sales Support professional to assist Registered Representatives and clients with securities accounts, trades, and servicing. You will liaise with the clearing firm and product providers, handling pre- and post-sale inquiries across mutual funds, equities, ETFs, and fixed income.

The role emphasizes accuracy, FINRA compliance, and customer service, with a strong team-based environment and opportunities to advance within a leading financial services company.

Qualifications

• FINRA SIE, Series 7 and 63 required or ability to acquire.
• 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; Bachelor’s degree preferred.
• Regular, predictable attendance is essential.

Responsibilities

• Handle pre- and post-sale calls and requests from customers and PFRs on mutual funds, annuities, variable life insurance accounts, as well as managed and brokerage accounts held at our clearing firm.
• Place trades on mutual funds, equities, ETFs, UNITs, and Fixed Income securities for customers and PFRs—requiring knowledge of NFS trading platforms and order types.
• Serve as liaison between PFR and clearing firm working directly with NFS on accounts.
• Ensure compliance with FINRA books and records requirements and respond to audit requests.
• Oversee movement of assets and cash via journals, EFTs, Wires, and checks.
• Educate PFRs and customers on documentation requirements and technology platforms for new accounts.
• Facilitate death-claims by establishing estate or beneficiary accounts following regulatory protocol.
• Analyze assets transferred onto NFS platform and coordinate with NFS and PFRs on transfers.
• Maintain records for all brokerage accounts to ensure compliance with policies and FINRA regulations.
• Review and approve/reject required paperwork and legal documentation for 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 SIE/Series 7/63 required

Bachelor’s degree preferred

Job description

Allstate is recruiting a Brokerage Sales Support professional to assist Registered Representatives and clients with securities accounts, trades, and servicing. You will liaise with the clearing firm and product providers, handling pre- and post-sale inquiries across mutual funds, equities, ETFs, and fixed income.

The role emphasizes accuracy, FINRA compliance, and customer service, with a strong team-based environment and opportunities to advance within a leading financial services company.