Broker Dealer Operations Sales Support Analyst II

Allstate

. Handle pre- and post-sale calls and requests from customers and PFRs for direct mutual fund, annuity, variable life insurance, managed, and brokerage accounts .

Posted 9/24/2026full-timeRemote • United StatesMid-LevelSenior💰 $50,000 - $75,050 per yearWebsite

Core Competencies

Role fit

Core Competencies

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

Demonstrates expertise in managing mutual fund, annuity, and brokerage accounts while ensuring compliance with FINRA regulations. Proficient in customer service and communication, with strong analytical and problem-solving skills to facilitate account servicing and asset management.

Highest-signal resume keywords

FINRA Series 7FINRA Series 63Securities Industry KnowledgeAnalytical SkillsCustomer Service Ability

ATS Keywords

Tailor your resume

Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills

Mutual Fund TradingEquity TradingExchange Traded Funds TradingFixed Income Securities TradingAsset ManagementCompliance ManagementDocumentation ReviewAccount Ownership AnalysisRegulatory Audit ResponseSpecial Project Management

Soft Skills

Verbal CommunicationProblem-SolvingTeam CollaborationIndependent Decision-MakingCustomer Education

Tools & Technologies

NFS Trading PlatformsEFTJournalsWiresCheck Requests

Certifications & Qualifications

FINRA Series Industry Exam (SIE)

Industry Keywords

FINRA ComplianceBooks and RecordsMarket Trading FunctionalityBrokerage Account ManagementEstate Accounts

Tech Stack

Tools & technologies

NFS

About the role

Key responsibilities & impact

Handle pre- and post-sale calls and requests from customers and PFRs for direct mutual fund, annuity, variable life insurance, managed, and brokerage accounts
Place trades on mutual funds, equities, Exchange Traded Funds, Unit Investment Trusts, and Fixed Income securities using NFS trading platforms
Serve as liaison between PFRs and the clearing firm, working directly with NFS on accounts
Ensure compliance with FINRA books and records requirements and respond to internal and regulatory audit requests
Oversee daily movement of assets and cash via journals, EFT, wires, and check requests
Educate PFRs and customers on documentation requirements and technology platforms for account openings and servicing
Facilitate death claims by establishing estate or beneficiary accounts and following regulatory protocols
Analyze assets transferred onto the NFS platform and coordinate with NFS and PFRs on the transfer process
Maintain brokerage account records in compliance with AFS and NFS policies and FINRA requirements
Analyze, review, and approve or reject paperwork and legal documentation related to account ownership and servicing
Complete special projects and tasks assigned by the Manager or Senior Leaders

Requirements

What you’ll need

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
Background investigation required
Dedicated, private workspace free from distractions when working from home
Reliable internet with minimum speeds of 50 MB download and 5 MB upload
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
Work-from-home arrangement