Broker Dealer Compliance Consultant II

Allstate

. Serve as a subject matter expert for securities registration, insurance licensing, appointments, and representative onboarding processes .

Posted 11/2/2026full-timeRemote • United StatesSeniorLead💰 $56,000 - $92,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

Use this summary to align your resume positioning with the role.

Expertise in securities registration, insurance licensing, and compliance processes, with a strong focus on regulatory requirements and operational risk management. Proven ability to lead onboarding initiatives and implement process improvements while collaborating with various stakeholders.

Highest-signal resume keywords

FINRA Series Industry Exam (SIE)Broker-Dealer RegistrationInsurance LicensingCompliance ManagementProcess Improvement

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Securities RegistrationInsurance LicensingOnboarding ProcessesRegulatory ComplianceOperational Risk AnalysisData AnalysisProject ManagementProcess DocumentationBackground ScreeningTrend Analysis

Soft Skills

Analytical SkillsProblem-SolvingOrganizational SkillsCommunication SkillsStakeholder Management

Tools & Technologies

FINRA CRDRegEdNIPRSirconOperational Systems

Certifications & Qualifications

FINRA Series 6FINRA Series 26FINRA Series 63

Industry Keywords

FINRA RegulationsSEC RegulationsState Securities RegulationsState Insurance RegulationsFinancial Services Operations

About the role

Key responsibilities & impact

Serve as a subject matter expert for securities registration, insurance licensing, appointments, and representative onboarding processes
Provide guidance and respond to inquiries regarding FINRA, SEC, state securities, and state insurance regulations
Coordinate and oversee representative onboarding, including registration, licensing, appointment, affiliation, and background screening requirements
Identify operational risks, process gaps, and business opportunities and develop scalable solutions
Lead development, implementation, documentation, and continuous improvement of compliance and onboarding processes
Monitor, maintain, and report on registration, licensing, appointment, and onboarding systems
Partner with field leadership, compliance, operations, technology teams, carriers, and external vendors on business initiatives and complex matters
Analyze trends, data, and operational metrics to identify risks and recommend process improvements
Communicate policies, procedures, regulatory requirements, and process changes; provide training, consultation, and guidance
Respond to representative, customer, leadership, regulatory, and vendor inquiries
Support quality standards, service-level agreements, productivity goals, and customer service expectations
Complete special projects, strategic initiatives, and other assigned duties

Requirements

What you’ll need

FINRA Series Industry Exam (SIE), Series 6, 26 and 63 required or the ability to acquire within the timeframe set forth by AFS, LLC
4 or more years of experience in broker-dealer registration, insurance licensing, compliance, onboarding, financial services operations, or a related field preferred
Experience interpreting and applying FINRA, SEC, state securities, and state insurance regulations preferred
Demonstrated experience leading projects, implementing process improvements, and managing regulatory or operational initiatives
Experience with registration, licensing, onboarding, and appointment systems such as FINRA CRD, RegEd, NIPR, Sircon, and related industry platforms preferred
Strong analytical, problem-solving, organizational, communication, and stakeholder management skills
Ability to manage multiple priorities and work independently in a dynamic and evolving environment
Background investigation required
Reliable internet with minimum speeds of 50 MB download and 5 MB upload
Dedicated, private workspace free from distractions, with appropriate desk and seating
Allstate generally does not sponsor individuals for employment-based visas for this position

Benefits

Comp & perks

Comprehensive technology setup including a laptop, monitors, headset, keyboard, and mouse
Monthly connectivity reimbursement to help offset internet costs for employees eligible to work from home
Fully remote work arrangement