Broker Dealer Operations Sales Support Analyst

6 days ago

Chicago, United States Allstate Full time

The world isn’t standing still, and neither is Allstate. We’re moving quickly, looking across our businesses and brands and taking bold steps to better serve customers’ evolving needs. That’s why now is an exciting time to join our team. You’ll have opportunities to take risks, challenge the status quo and shape the future for the greater good.

You’ll do all this in an environment of excellence and the highest ethical standards - a place where values such as integrity, inclusive diversity and accountability are paramount. We empower every employee to lead, drive change and give back where they work and live. Our people are our greatest strength, and we work as one team in service of our customers and communities.

Everything we do at Allstate is driven by a shared purpose: to protect people from life’s uncertainties so they can realize their hopes and dreams. For more than 89 years we’ve thrived by staying a step ahead of whatever’s coming next - to give customers peace of mind no matter what changes they face. We acted with conviction to advocate for seat belts, air bags and graduated driving laws. We help give survivors of domestic violence a voice through financial empowerment. We’ve been an industry leader in pricing sophistication, telematics, digital photo claims and, more recently, device and identity protection.

**We are the Good Hands. We don’t follow the trends. We set them.**

**Job Header**:
SAP Job Title: ALR-BD Op Sales Support-Anlst II

Band: A2

FLSA Status: Exempt

Job Code: 70017991

Revised Date: 05/10/2023

**Job Family Summary**:
The Broker Dealer Sales Support Department is the primary in-bound call and service center for the broker-dealer. It assists Registered Representatives and customers with all pre

**Job Summary**:
This position provides pre-sale and post-sale service to PFRs via telephone by answering questions and processing requests and placing securities trades. The position also serves as a liaison between the broker dealer clearing firm and various product providers.

**Key Responsibilities**:

- Handle pre
- and post-sale calls and requests from customers and PFRs on brokerage accounts and all direct mutual fund, annuity, and variable life insurance accounts; providing outstanding service to increase asset sales and retention in-line with organizational goals
- Place trades on mutual funds, stocks, UITs and bonds for customers and PFRs
- Ensure compliance with FINRA books and records requirements, respond to internal and regulatory audit requests and update procedures, as necessary
- Establish bank-lines for customers to quickly facilitate EFTs and wires
- Process IRA one-time and non-qualified distributions
- Educate PFRs and customer on documentation requirements and technology platforms for new account openings and on-going servicing
- Handle death-of-account-owner situations by establishing estate accounts and following proper protocol
- Facilitate Periodic Investment Plan and Systematic Withdrawal Plan instructions and monitor them going forward
- Make trade corrections and create/send invoices to PFRs, also handle appeals
- Promote the use of technology, including RightBRIDGE, Docupace, Wealthscape and Wealthscape Investor
- Handle margin call notifications
- Verify that proper breakpoint charges were given on mutual fund sales and correct trades, if necessary
- Ensure accurate rules are followed for mutual fund swaps, switches and reinstatements
- Notify reps of re-org notifications, municipal bond notices, warrants/rights offerings and tender offers
- Sell-out security positions to satisfy debit balances, clean-up low value brokerage accounts
- Obtain proper requirements to make sure beneficiary designations are approved
- Make changes to customer accounts; including name, address and investment objectives
- Handle questions regarding jurisdiction, licensing and proper state registration assignments
- Complete special projects and tasks as assigned by Manager or Senior Leaders

**Knowledge/Skills/Abilities/Experience**:

- 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

**Notes**:

- The preceding description is not designed to be a complete list of all duties and responsibilities. May be required to perform other related duties as assigned. Regular, predictable attendance is an essential function of this job.Compensation offered for this role is $45,000.00-$55,00.00 per year and is based on exper

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