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Allstate Insurance Company has an excellent career opportunity for a DOL Compliance Analyst in Lincoln, NE!
Job Family Summary
Compliance Professionals provide guidance and expertise to ensure that Allstate registered representatives are adhering to the Department of Labor Fiduciary rule.
Performs compliance and ethics projects and processes integral to the implementation of policies and procedures compliant with the Department of Labor (DOL) fiduciary rule. Provide support for the annual CEO certification (3120) process. Conduct system control testing for vended and internal systems.
DOL Best Interest and Suitability
- Monitor registered representative adherence to BICE's Impartial Conduct Standards through quality verification of Suitability Department’s reviews
- Assist in surveillance and monitoring to ensure that controls are in place to prevent conflicts of interest
- Testing of new suitability workflow and identification of any training needs
Systematic Controls Testing
- Provide testing of key systems and programs to ensure that automated processes are working as designed
- Cybersecurity and Privacy
- Serve as Privacy Coordinator
- Support the cybersecurity and annual service organization control (SOC) programs
- Assist in testing of key supervisory procedures to support the annual 3120 process
- Assist in regular surveillance reporting and follow up
- Participate in ongoing improvement of surveillance processes
- 2-4 years of experience in Broker/Dealer operations or compliance preferred
- Familiarity with the impacts of the DOL rule
- College degree in related field preferred
- FINRA Series 6 and 26 required, Series 7 and 24 preferred, or the ability to acquire in the timeframe set forth by Allstate Financial Services, LLC
- Proficient in Microsoft Office – specifically Word, Excel, PowerPoint and Outlook
- Good interpersonal communication skills
- Detail oriented with the ability to identify issues that require further investigation
- Ability to work with employees at all levels of the organization
The candidate(s) offered this position will be required to submit to a background investigation, which includes a drug screen.
Good Work. Good Life. Good Hands®.
As a Fortune 100 company and industry leader, we provide a competitive salary – but that’s just the beginning. Our Total Rewards package also offers benefits like tuition assistance, medical and dental insurance, as well as a robust pension and 401(k). Plus, you’ll have access to a wide variety of programs to help you balance your work and personal life -- including a generous paid time off policy.