Compliance Consultant
Company: Allstate Insurance
Location: Omaha
Posted on: March 2, 2025
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Job Description:
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.Job DescriptionThe BD Compliance
Complaints Senior Consultant II reviews and resolves customer
complaints, ensures regulatory obligations are satisfied,
participates in legal cases when required, and administers the
Broker-Dealer disciplinary procedures.Key Responsibilities* Manages
and maintains the Firm's books and records* Advises PFRs regarding
Errors and Omissions (E&O) claims and works with E&O claims
investigators to secure coverage for PFRs and the Firm* Provides
"on the record" testimony and sworn affidavits in arbitrations,
mediations, and civil litigation cases when required* Provides
education to internal and outside counsel in firm policies,
procedures, and products* Participates in regulatory inspections of
the Firm, interacts with regulators, and responds to inquiries*
Identifies and completes FINRA Rule 4530 and Form U4/U5 disclosure
filing requirements* Prepares responses and documentation for legal
subpoenas and discovery requests* Facilitates account adjustments,
corrections, reimbursements, and settlement payments* Prepares
legal settlement agreements and negotiates with customers
concerning complaint resolution* Reviews and resolves customer
complaintsEducation* 4 year Bachelors Degree (Preferred)Experience*
3 or more years of experience (Preferred)Supervisory
Responsibilities* This job does not have supervisory
duties.Required Licenses* FINRA Series 7 and 24
SkillsCompensationCompensation offered for this role is $59,800.00
- 105,910.00 annually and is based on experience and
qualifications.The candidate(s) offered this position will be
required to submit to a background investigation.Joining our team
isn't just a job - it's an opportunity. One that takes your skills
and pushes them to the next level. One that encourages you to
challenge the status quo. And one where you can impact the future
for the greater good. You'll do all this in a flexible environment
that embraces connection and belonging. And with the recognition of
several inclusivity and diversity awards, we've proven that
Allstate empowers everyone to lead, drive change and give back
where they work and live.Good Hands. Greater Together.Allstate
generally does not sponsor individuals for employment-based visas
for this position.Effective July 1, 2014, under Indiana House
Enrolled Act (HEA) 1242, it is against public policy of the State
of Indiana and a discriminatory practice for an employer to
discriminate against a prospective employee on the basis of status
as a veteran by refusing to employ an applicant on the basis that
they are a veteran of the armed forces of the United States, a
member of the Indiana National Guard or a member of a reserve
component.For jobs in San Francisco, please click "here" for
information regarding the San Francisco Fair Chance Ordinance.
For jobs in Los Angeles, please click "here" for information
regarding the Los Angeles Fair Chance Initiative for Hiring
Ordinance.To view the "EEO is the Law" poster click "here". This
poster provides information concerning the laws and procedures for
filing complaints of violations of the laws with the Office of
Federal Contract Compliance ProgramsTo view the FMLA poster, click
"here". This poster summarizing the major provisions of the Family
and Medical Leave Act (FMLA) and telling employees how to file a
complaint.It is the Company's policy to employ the best qualified
individuals available for all jobs. Therefore, any discriminatory
action taken on account of an employee's ancestry, age, color,
disability, genetic information, gender, gender identity, gender
expression, sexual and reproductive health decision, marital
status, medical condition, military or veteran status, national
origin, race (include traits historically associated with race,
including, but not limited to, hair texture and protective
hairstyles), religion (including religious dress), sex, or sexual
orientation that adversely affects an employee's terms or
conditions of employment is prohibited. This policy applies to all
aspects of the employment relationship, including, but not limited
to, hiring, training, salary administration, promotion, job
assignment, benefits, discipline, and separation of
employment.Required
Keywords: Allstate Insurance, Omaha , Compliance Consultant, Professions , Omaha, Nebraska
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