Allstate Field Compliance Principal in New Orleans, Louisiana
Field Compliance Principal
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Job ID :
New Orleans, LA US
Job Category :
Where good people build rewarding careers.
Think that working in the insurance field can’t be exciting, rewarding and challenging? Think again. You’ll help us reinvent protection and retirement to improve customers’ lives. We’ll help you make an impact with our training and mentoring offerings. Here, you’ll have the opportunity to expand and apply your skills in ways you never thought possible. And you’ll have fun doing it. Join a company of individuals with hopes, plans and passions, all using and developing our talents for good, at work and in life.
Job Family Summary
Field Compliance Principals provide guidance and expertise to ensure that Allstate registered representatives, all affiliated persons and the broker dealer act in accordance with regulatory requirements.
Provides compliance and supervisory training and guidance to regional management and registered representatives to ensure strict adherence to broker/dealer policies and procedures as well as applicable FINRA (Financial Industry Regulatory Association), SEC (Securities and Exchange Commission), and state securities laws and regulations.
Gather & Monitor Information pertaining to securities compliance
Monitor regulations and compliance updates
Acts as a source of regulatory information for registered representatives and supervisory personnel.
Coordinate the review and approval of all securities related written and electronic communications with the public.
Audits securities activities of registered representatives to confirm adherence with internal and regulatory policies and procedures.
Review and monitor the registered representative’s use of Social Media
Support Compliance Initiatives
Conducts and manages field office inspections according to criterion.
Responsible for review of special supervisory plans for registered representatives.
Acts as the local AFS compliance resource and trainer to other supervisory principals and registered representatives in order to facilitate compliance with applicable laws and regulations.
Assists with any compliance-related projects as directed.
5 years experience in Broker/Dealer Compliance
College degree in related field preferred.
FINRA Registrations: Series 7 and 24 required
Proficient in Microsoft Office – specifically Word, Excel, PowerPoint and Outlook
Good interpersonal communication skills
Ability to work with employees at all levels of the organization
The candidate(s) offered this position will be required to submit to a background investigation, which includes a drug screen.
Good Work. Good Life. Good Hands®.
As a Fortune 100 company and industry leader, we provide a competitive salary – but that’s just the beginning. Our Total Rewards package also offers benefits like tuition assistance, medical and dental insurance, as well as a robust pension and 401(k). Plus, you’ll have access to a wide variety of programs to help you balance your work and personal life -- including a generous paid time off policy.
Learn more about life at Allstate. Connect with us on Twitter at http://jb.al.st/BWGk6 , Facebook at http://jb.al.st/BWGka , Instagram at http://jb.al.st/BWGlO and LinkedIn at https://www.linkedin.com/company/allstate/careers or watch a video at http://jb.al.st/BWGpG .
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.
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It is the policy of Allstate to employ the best qualified individuals available for all jobs without regard to race, color, religion, sex, age, national origin, sexual orientation, gender identity/gender expression, disability, and citizenship status as a veteran with a disability or veteran of the Vietnam Era.