Securities Compliance Attorney / Officer

  • Full Time
  • Duluth, GA 30099
  • Posted 4 weeks ago

Join Our Team

Due to COVID-19, most of our employees are working from home. We have implemented a virtual hiring process and continue to interview candidates by phone or video conferencing, and we are onboarding new employees both onsite and remotely. We value the safety of every member of our community.

About this Position

The Securities Compliance Department of a Broker-Dealer and Registered Investment Adviser has an opening for an experienced Compliance Professional or Attorney who will review securities laws and regulations, develop policies and procedures sufficient to comply with regulatory requirements, conduct testing to identify and manage regulatory risk, and assist with securities regulatory inquiries and examination. This person will be responsible for understanding the securities products offered by the Firm, including mutual funds, variable annuities, 529 Plans and a wrap-fee advisory product. This person will also be responsible for providing guidance and training to the business and registered representatives.

Responsibilities & Qualifications

ESSENTIAL DUTIES AND RESPONSIBILITES:

  • Interpret new and existing securities laws and regulations and use knowledge and experience to provide guidance to business units across the broker-dealer and registered investment adviser.

  • Analyze existing policies, procedures, processes, and controls to determine gaps or areas for improvement. Lead or assist in leading initiatives or projects to mitigate the risk.

  • Serve as subject matter expert and represent Compliance in business meetings and on committees.

  • Respond to regulatory inquires and communicate with regulators such as FINRA, SEC and the Securities Divisions of each state.

  • Provide training to registered representatives on topics including but not limited to Form U4 requirements, registration, suitability and best interest.

  • Create training that may include in person training or written training such as bulletins and publications.

REQUIRED QUALIFICATIONS:

  • Bachelor’s Degree

  • 2-5 years of experience in the financial services industry

  • FINRA SIE, Series 7, 24 and 65/66 securities licenses (or obtained within 150 days of hire)

  • Ability to manage multiple priorities and quickly and efficiently adapt to changes in procedures or policies

  • Ability to function independently as well as well as cooperatively

  • Ability to perform assigned tasks within the specified time frames and meet quality expectations

  • Ability to conduct research and provide management with proposed solutions

  • Thorough and detail-oriented

  • Excellent Word, PDF, Excel, and PowerPoint skills

  • Excellent analytical, research, and writing skills

  • Excellent interpersonal relationship skills

  • Excellent verbal and written communication skills

  • Excellent analytical, research, and writing skills

PREFERRED QUALIFICATIONS:

  • MBA, Juris Doctorate or other advanced degree

  • Experience with securities regulators, such as FINRA, SEC and the Securities Divisions of each state

  • Experience in Securities Compliance

  • Comprehensive understanding of mutual funds, annuities and/or advisory products

FLSA status:

This position is exempt (not eligible for over time):

Yes

Our Benefits:

  • Day one health, dental, and vision insurance

  • 401(k) Plan with competitive employer match

  • Vacation, sick, holiday and volunteer time off

  • Life and disability insurance

  • Flexible Savings Account & Health Savings Account

  • Professional development

  • Tuition reimbursement

  • Company-sponsored social and philanthropy events

It has been and will continue to be the policy of Primerica, Inc., and its subsidiaries to be an Equal Opportunity Employer. We provide equal opportunity to all qualified individuals regardless of race, sex, color, religious creed, religion, national origin, citizenship status, age, disability, pregnancy, ancestry, military service or veteran status, genetic or carrier status, marital status, sexual orientation, or any classification protected by applicable federal, state or local laws.

At Primerica, we believe that diversity and inclusion are critical to our future and our mission – creating a foundation for a creative workplace that leads to innovation, growth, and profitability. Through a variety of programs and initiatives, we invest in each employee, seeking to ensure that our people are not only respected as individuals, but also truly valued for their unique perspectives.

Job Overview
  • Job ID
    R-446:092021
  • Year of Experience
    2 - 5 Year
Job Location

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