Broker Dealer Operations Sales Support Analyst II

Allstate • USA - NE (Remote), NE

6d • $50,000 - $75,050 • Remote

About The Position

The Broker Dealer Sales Support Department functions as the main inbound call and service center for the broker-dealer. It provides assistance to Registered Representatives and clients with securities account support through both phone and email channels. The department's primary responsibilities include servicing brokerage accounts and overseeing trading activities. This role offers both pre-sale and post-sale support to PFRs via telephone, addressing inquiries and processing requests related to securities accounts, as well as executing securities trades. Additionally, the position acts as a liaison between the broker-dealer clearing firm and various product providers.

Requirements

• 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
• Regular, predictable attendance is an essential function of this job

Nice To Haves

• Bachelor’s degree preferred

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, Exchange Traded Funds, Unit Investment Trusts, and Fixed Income securities for customers and PFRs – requiring detailed knowledge and understanding of all of the NFS trading platforms, the financial market, how to obtain quotes, securities pricing, and various types of trade orders and risks with each
• 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, as necessary
• Oversee the movement of assets and cash daily via journals between accounts, EFT, Wires and check requests
• Educate PFRs and customers on documentation requirements and technology platforms for new account openings and on-going servicing
• Facilitate death-claims by establishing estate or beneficiary accounts and following proper protocol to ensure adherence to regulatory guidelines and a seamless customer experience; working directly with field leadership
• Analyze assets being transferred onto the NFS platform and work directly with NFS and PFRs regarding the transfers process ensuring compliance with AFS product shelf
• Maintain records for all brokerage accounts to ensure compliance with both AFS and NFS policies and procedures and FINRA regulatory requirements for securities transactions and reporting
• Analyze, review, and approve/reject required paperwork and legal documentation related to account ownership and servicing for AFS
• Complete special projects and tasks as assigned by Manager or Senior Leaders

Benefits

• Comprehensive technology setup, including a laptop, monitors, headset, keyboard, and mouse.
• Monthly connectivity reimbursement for eligible remote employees.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level