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Securities Compliance Officer or Compliance Attorney

2 months ago

Duluth, United States Primerica Full time

Join Our Team

In 2022, the Atlanta Journal-Constitution named Primerica one of the best places to work for the ninth consecutive year. Also in 2022, Primerica was named one of the Best Employers for Diversity by Forbes for the second consecutive year. Forbes also named Primerica as one of America's best Insurance companies for 2022. Primerica ranks 6th among 25 companies included in the Term Life Insurance category. Over the past seven years Primerica has consistently been voted Best Employer by Gwinnett Magazine in its special "Best of Gwinnett" winner editions. Primerica is a great place to work Join our team to experience what it's like to work at "one of the best places to work in the metro Atlanta".

About this Position

The Securities Compliance Department at Primerica has an opening for a compliance professional to join a team of Compliance Attorneys, Compliance Officers and Compliance Analysts. This role is responsible for assisting in the management of the testing program for two broker-dealers and one registered investment adviser. This role is also responsible for reviewing securities laws and regulations, developing policies and procedures sufficient to comply with regulatory requirements, and conducting compliance testing to identify and manage regulatory risk.

This is a hybrid position that involves working 3 days onsite in the Duluth, Georgia office and 2 days remotely.

Responsibilities & Qualifications

ESSENTIAL DUTIES AND RESPONSIBILITES: Conduct compliance testing to ensure the broker-dealers and registered investment adviser are meeting regulatory requirements. Coordinate with business units to create and modify policies and procedures to achieve compliance with regulatory requirements. Work with the business units to validate corrective action plans are completed and working as designed. Responsible for working with all the different business units to ensure corrective action plans are completed accurately and timely. Complete ad-hoc testing to validate corrective actions plans to ensure the corrective action plans are effective. Prepare the annual FINRA, SEC and DOL retrospective reports. Maintain regulatory risk matrices used to determine compliance testing frequency. Analyze existing policies, procedures, processes, and controls to determine gaps or areas for improvement. Assist the Compliance Department with researching and analyzing relevant compliance-related information in an effort to identify potential issues, trends, risks and/or training opportunities. Create training that may include in person training or written training such as bulletins and publications.

REQUIRED QUALIFICATIONS: Bachelor's Degree 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 with aptitude for identifying risk and capability to research complex problems and collaborate to create solutions Excellent Word, PDF, Excel, and PowerPoint skills Excellent analytical, research, and writing skills Excellent interpersonal relationship skills Excellent verbal and written communication skills

PREFERRED QUALIFICATIONS: MBA, Juris Doctorate or other advanced degree 2-5 years of experience in the financial services industry Experience with securities regulators, such as FINRA, SEC and the Securities Divisions of each state Strong working knowledge and understanding of US securities laws and regulations Relevant compliance experience, including policies and procedures development, compliance risk assessments, responding to regulatory inquiries, etc. Comprehensive understanding of mutual funds, annuities and/or advisory products

FLSA status: This position is exempt (not eligible for overtime pay): 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 Spending 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. #J-18808-Ljbffr