Broker Dealer Compliance Registration Consultant II

Location: US - Remote

At Allstate, great things happen when our people work together to protect families and their belongings from life’s uncertainties. And for more than 90 years, our innovative drive has kept us a step ahead of our customers’ evolving needs. From advocating for seat belts, air bags and graduated driving laws, to being an industry leader in pricing sophistication, telematics, and, more recently, device and identity protection.

The Broker Dealer Compliance Registration Consultant II serves as a subject matter expert for securities registration, insurance licensing, appointments, and representative onboarding processes. This role combines strategic process development with operational execution and is responsible for identifying business opportunities, mitigating regulatory and operational risks, and developing scalable solutions that support organizational objectives.

The consultant collaborates with field leadership, compliance, operations, technology teams, and external business partners to improve registration, licensing, appointment, and onboarding programs while ensuring compliance with regulatory and corporate requirements.

Key Responsibilities

• Serves as a subject matter expert for securities registration, insurance licensing, appointments, and representative onboarding processes.
• Demonstrates knowledge of FINRA, SEC, state securities, and state insurance regulations to provide guidance, respond to inquiries, and support regulatory compliance.
• Coordinates and oversees the onboarding of representatives, ensuring registration, licensing, appointment, affiliation, and background screening requirements are completed accurately and within established service levels.
• Identifies operational risks, process gaps, and business opportunities and develops solutions that improve efficiency, scalability, compliance, and the representative experience.
• Leads the development, implementation, documentation, and continuous improvement of registration, licensing, appointment, onboarding, and related compliance processes.
• Monitors, maintains, and reports on registration, licensing, appointment, and onboarding systems to ensure accuracy, compliance, and operational effectiveness.
• Partners with field leadership, compliance, operations, technology teams, carriers, and external vendors to implement business initiatives and resolve complex registration, licensing, onboarding, and appointment matters.
• Analyzes trends, data, and operational metrics to identify emerging risks and recommend strategic solutions and process improvements.
• Communicates policies, procedures, regulatory requirements, and process changes to stakeholders and provides training, consultation, and guidance to representatives, field leadership, and home office partners.
• Responds to representative, customer, leadership, regulatory, and vendor inquiries in a timely and professional manner.
• Supports achievement of departmental quality standards, service-level agreements, productivity goals, and customer service expectations.
• Completes special projects, strategic initiatives, and other duties as assigned.