Field Compliance Principal

Posted on Jan 12 40 views Los Angeles, CA

The world isn’t standing still, and neither is Allstate. We’re moving quickly, looking across our businesses and brands and taking bold steps to better serve customers’ evolving needs. That’s why now is an exciting time to join our team. As a leader in a corporation with 83,000 employees and agency force members, you’ll have a hand in transforming not only Allstate but a dynamic industry. You’ll have opportunities to take risks, challenge the status quo and shape the future for the greater good.

You’ll do all this in an environment of excellence and the highest ethical standards – a place where values such as integrity, inclusive diversity and accountability are paramount. We empower every employee to lead, drive change and give back where they work and live. Our people are our greatest strength, and we work as one team in service of our customers and communities.

Everything we do at Allstate is driven by a shared purpose: to protect people from life’s uncertainties so they can realize their hopes and dreams. For 89 years we’ve thrived by staying a step ahead of whatever’s coming next – to give customers peace of mind no matter what changes they face. We acted with conviction to advocate for seat belts, air bags and graduated driving laws. We help give survivors of domestic violence a voice through financial empowerment. We’ve been an industry leader in pricing sophistication, telematics, digital photo claims and, more recently, device and identity protection. We are the Good Hands. We don’t follow the trends. We set them.

Job Description

Job Family Summary

Field Compliance Principals provide guidance and expertise to ensure that Allstate registered representatives, all affiliated persons and the broker dealer act in accordance with regulatory requirements.

Job Summary

Provides compliance and supervisory training and guidance to regional management and registered representatives to ensure strict adherence to broker/dealer policies and procedures as well as applicable FINRA (Financial Industry Regulatory Association), SEC (Securities and Exchange Commission), and state securities laws and regulations.

Key Responsibilities

Gather & Monitor Information pertaining to securities compliance

  • Monitor regulations and compliance updates
  • Acts as a source of regulatory information for registered representatives and supervisory personnel.
  • Coordinate the review and approval of all securities related written and electronic communications with the public.
  • Audits securities activities of registered representatives to confirm adherence with internal and regulatory policies and procedures.
  • Review and monitor the registered representative’s use of Social Media

Support Compliance Initiatives

  • Conducts and manages field office inspections according to criterion.
  • Responsible for review of special supervisory plans for registered representatives.
  • Acts as the local AFS compliance resource and trainer to other supervisory principals and registered representatives in order to facilitate compliance with applicable laws and regulations.
  • Assists with any compliance-related projects as directed.
Job Qualifications
  • 5 years experience in Broker/Dealer Compliance preferred
  • College degree in related field preferred
  • FINRA Registrations: Series 7 and 24 required
  • Proficient in Microsoft Office – specifically Word, Excel, PowerPoint and Outlook
  • Good interpersonal communication skills
  • Ability to work with employees at all levels of the organization
Compensation Data

Compensation and Benefits include:

  • Starting minimum salary is $75,900 per year, but could be higher depending on years of experience
  • Paid Time Off, 401(k) and pension
  • Medical, Dental, and Vision coverage
  • Learn more about Allstate benefits @

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.


Learn more about life at Allstate. Connect with us on Twitter, Facebook, Instagram and LinkedIn or watch a video.


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.


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