Broker Dealer Operations Sales Support Analyst II

This is a fully remote position, open to applicants in United States.

📋 Description

• Manage customer and PFR inquiries and requests related to pre- and post-sale for direct mutual funds, annuities, variable life insurance, managed accounts, and brokerage accounts.

• Execute trades on mutual funds, equities, Exchange Traded Funds, Unit Investment Trusts, and Fixed Income securities utilizing NFS trading platforms.

• Act as a communication link between PFRs and the clearing firm, collaborating directly with NFS regarding accounts.

• Ensure adherence to FINRA books and records mandates while addressing internal and regulatory audit inquiries.

• Supervise the daily transfer of assets and funds through journals, EFT, wires, and check requests.

• Provide education to PFRs and customers on documentation needs and technology platforms for account initiation and management.

• Assist in processing death claims by setting up estate or beneficiary accounts and adhering to regulatory standards.

• Evaluate assets transitioned to the NFS platform and coordinate with NFS and PFRs throughout the transfer procedure.

• Maintain brokerage account records in accordance with AFS and NFS policies as well as FINRA regulations.

• Review, analyze, and either approve or deny documentation and legal paperwork related to account ownership and servicing.

• Carry out special projects and tasks assigned by the Manager or Senior Leaders.

⛳️ Requirements

• FINRA Series Industry Exam (SIE), Series 7, and 63 are required, or the capability to obtain them within the timeframe specified by AFS, LLC.

• Exceptional verbal communication skills coupled with excellent customer service capabilities.

• Understanding of the securities industry, encompassing books and records, regulations, product categories, and market trading functionalities.

• Strong analytical and problem-solving abilities.

• Capacity to work independently as well as collaboratively in decision-making that aligns with organizational objectives and expectations.

• Bachelor’s degree is preferred.

• Consistent and reliable attendance is a crucial aspect of this role.

• Background investigation is mandatory.

• A dedicated and private workspace that is free from distractions is required when working remotely.

• A dependable internet connection with minimum speeds of 50 MB download and 5 MB upload is necessary.

• Allstate typically does not sponsor individuals for employment-based visas for this role.

🏝️ Benefits

• Comprehensive technology setup including a laptop, monitors, headset, keyboard, and mouse.

• Monthly connectivity reimbursement to help cover internet expenses.

• Work-from-home arrangement.