Primerica Opportunity Securities Compliance Analyst

3 weeks ago


Duluth, United States CareerBuilder Full time

Job Description:
The Securities Compliance Department seeks Securities Compliance Analyst who will assist in the development, implementation and maintenance of an effective compliance program to ensure the Broker Dealer and Investment Adviser are in compliance with applicable securities laws and regulations. This position will support management in day-to-day tasks related to Anti-Money Laundering (AML), compliance monitoring and testing, regulatory responses, regulatory exams, publications, and sales force training calls.

[ads1]
Job Responsibilities:

Conduct training to the sales force to ensure they understand and comply with regulatory requirements

Identify potential gaps in policies and procedures

Engage with multiple business units to conduct compliance testing

Identify and escalate potential issues when needed

Develop test plans to assess the adequacy of policies and procedures

Research and analyze relevant compliance-related information in an effort to identify potential issues, trends, risks and/or training opportunities

Validate corrective action plans to ensure the desired results are being achieved

Assist the AML Compliance Officer with the administration of the firms AML Program

Implement and test compliance controls and assess the effectiveness of the controls

Assist Compliance Officers and Attorneys with regulatory responses, regulatory exams and compliance testing

Responsibilities not limited to this list

Conduct compliance testing, quality assurance and ad-hoc reviews to ensure the Broker Dealers and Registered Investment Advisers policies and procedures are sufficient and are being followed to meet regulatory requirements

Job Requirements:

Knowledge of PFS Investments Inc.s internal systems.

Attention to detail and excellent written and oral communication

Proven ability to effectively and efficiently complete multiple tasks and prioritize assignments as needed

Experience with SQL

Advanced knowledge of Microsoft Excel and Word

Knowledge of securities industry

Ability to function independently as well as cooperatively

Strong analytical skills

Bachelors degree in business or related major or equivalent work experience

FINRA Series 6, 26 and 65 securities licenses and FINRA SIE exam (when applicable) are required (or obtained within 150 days of hire)

Experience with Microsoft Access

3+ years of testing/audit experience

Series 7, 24 and 66 securities licenses and SIE Exam (or willing to obtain within 150 days of hire)

Job Details:
Company: Primerica

Vacancy Type: Full Time

Job Location: Duluth, GA, US

Application Deadline:

N/A

[ads2]
Apply Here

instantcareers.net

#J-18808-Ljbffr



  • Duluth, United States Weg Electric Corp Full time

    About the role: WEG Electric Corp. has a great opportunity for a Trade Compliance Analyst to join our team in Duluth, GA. In this role you will apply your expertise of interpreting and applying Trade Compliance rules and regulations while supporting Compliance Analyst, Trade, Compliance, Business Operations, Analyst, Supply Chain, Manufacturing

  • Sr. Risk

    1 week ago


    Duluth, United States Neptune Technology Group Full time

    Position Summary As Governance, Risk & Compliance Analyst, you will be responsible for ensuring the organization is effectively designing, developing, and implementing security compliance controls and solutions. You will engage with stakeholders across the enterprise on all aspects of security and governance, management of policies, implementation and...

  • Sr. Risk

    3 weeks ago


    Duluth, United States Neptune Full time

    Position Summary As Governance, Risk & Compliance Analyst, you will be responsible for ensuring the organization is effectively designing, developing, and implementing security compliance controls and solutions. You will engage with stakeholders across the enterprise on all aspects of security and governance, management of policies, implementation and...

  • Sr. Security Analyst

    2 weeks ago


    Duluth, United States Neptune Technology Group Full time

    Position Summary As a Senior Security Analyst, you will be responsible for ensuring the organization is effectively evaluating, developing, and implementing security controls and solutions. You will engage with stakeholders across the enterprise on all aspects of cloud and application security policies, implementation and monitoring of controls, and...

  • Compensation Analyst

    3 weeks ago


    Duluth, United States Visionaire Partners Full time

    Job DescriptionJob DescriptionCompensation AnalystThis is an exciting opportunity to join a dynamic organization where you can make an impact.   RESPONSIBILITIES: Analysis of compensation and various human resource programs and initiativesAnalyze assigned functions, such as FLSA classification review, compensation studies, equity administration, and...


  • Duluth, United States Primerica Financial Services Full time

    Are you a self-motivated individual with a passion for sales, insurance, and entrepreneurship? Are you looking for an opportunity to create your own business and enjoy the flexibility of remote work? We have the perfect position for you! Position Overview: Join our team as an Independent Financial Services Agent and take control of your career. This...

  • Technical Analyst

    5 days ago


    Duluth, United States Nichiha USA, Inc. Full time

    Job Description Job Description Position: Technical Analyst Department: Technical Services – Architecture & Engineering Location: Johns Creek, GA (Hybrid) Reports to: Technical Services Manager Position Summary: The Technical Analyst will conduct detailed technical design reviews of construction project opportunities to support architects and/or...

  • Technical Analyst

    2 weeks ago


    Duluth, United States Nichiha USA, Inc Full time

    Job DescriptionJob DescriptionPosition: Technical AnalystDepartment: Technical Services – Architecture & EngineeringLocation: Johns Creek, GA (Hybrid)Reports to: Technical Services ManagerPosition Summary: The Technical Analyst will conduct detailed technical design reviews of construction project opportunities to support architects and/or contractors in...

  • Finance Analyst

    6 days ago


    Duluth, United States GHJ Search and Staffing Full time

    Job DescriptionJob DescriptionSenior Finance AnalystWe have partnered with a leading provider of high-quality, apparel company. The team is seeking a Finance Analyst who will will be responsible for analyzing financial data, trends, and performance metrics to provide insights and recommendations to support decision-making within the...

  • Finance Analyst

    2 weeks ago


    Duluth, United States GHJ Search and Staffing Full time

    Job DescriptionJob DescriptionSenior Finance AnalystWe have partnered with a leading provider of high-quality, apparel company. The team is seeking a Finance Analyst who will will be responsible for analyzing financial data, trends, and performance metrics to provide insights and recommendations to support decision-making within the...


  • Duluth, United States GHJ Search and Staffing Full time

    Job Description Job Description Senior Finance Analyst We have partnered with a leading provider of high-quality, apparel company. The team is seeking a Senior Financial Analyst who will play a crucial role in providing insightful financial analysis and strategic guidance to support decision-making across the organization. Responsibilities: Perform in-depth...

  • Benefits Analyst

    2 days ago


    Duluth, United States Visionaire Partners Full time

    Benefits AnalystThis is an exciting opportunity to join a dynamic organization where you can make an impact. RESPONSIBILITIES: Data analysis, loading and managing deductions, reconciliation, reviewing inputs and exports, and solving participant issuesCreate and prepare monthly executive dashboardsTrack monthly invoicesCollect, analyze, and summarize data and...

  • Benefits Analyst

    4 days ago


    Duluth, United States Visionaire Partners Full time

    Benefits Analyst This is an exciting opportunity to join a dynamic organization where you can make an impact. RESPONSIBILITIES: Data analysis, loading and managing deductions, reconciliation, reviewing inputs and exports, and solving participant issues Create and prepare monthly executive dashboards Track monthly invoices Collect, analyze, and summarize...

  • Benefits Analyst

    1 week ago


    Duluth, United States Visionaire Partners Full time

    Benefits AnalystThis is an exciting opportunity to join a dynamic organization where you can make an impact. RESPONSIBILITIES: Data analysis, loading and managing deductions, reconciliation, reviewing inputs and exports, and solving participant issuesCreate and prepare monthly executive dashboardsTrack monthly invoicesCollect, analyze, and summarize data and...


  • Duluth, United States GHJ Search and Staffing Full time

    Job DescriptionJob DescriptionSenior Finance AnalystWe have partnered with a leading provider of high-quality, apparel company. The team is seeking a Senior Financial Analyst who will play a crucial role in providing insightful financial analysis and strategic guidance to support decision-making across the organization.Responsibilities: Perform in-depth...


  • Duluth, United States GHJ Search and Staffing Full time

    Job DescriptionJob DescriptionSenior Finance AnalystWe have partnered with a leading provider of high-quality, apparel company. The team is seeking a Senior Financial Analyst who will play a crucial role in providing insightful financial analysis and strategic guidance to support decision-making across the organization.Responsibilities: Perform in-depth...

  • Financial Analyst

    4 weeks ago


    Duluth, United States RemX The Workforce Experts Full time

    Job DescriptionJob DescriptionBudget AnalystDuluth, GA100% in Office 100% Paid Benefits! 401k 10% MATCH Great growth opportunity Budget AnalystDuluth, GASalary: $60k-$70k Open to someone with 3-5 financial reporting/analyst experience  Responsibilities:·         Collaborate with management to develop annual sales forecasts.·        ...

  • Financial Analyst

    2 weeks ago


    Duluth, United States RemX The Workforce Experts Full time

    Job DescriptionJob DescriptionBudget AnalystDuluth, GA100% in Office 100% Paid Benefits! 401k 10% MATCH Great growth opportunity Budget AnalystDuluth, GASalary: $60k-$70k Open to someone with 3-5 financial reporting/analyst experience  Responsibilities:·         Collaborate with management to develop annual sales forecasts.·        ...


  • Duluth, United States Change Church Full time

    Position Overview: The Director of Security's primary responsibility is to oversee security and safety for the campuses of Change Church including Georgia and New Jersey. This position oversees development and implementation of security and safety practices, ensures compliance with local, state and federal rules and regulations, develops volunteers and...

  • Financial Analyst

    15 hours ago


    Duluth, United States RemX Full time

    Job DescriptionJob DescriptionBudget AnalystDuluth, GA100% in Office 100% Paid Benefits! 401k 10% MATCH Great growth opportunity Budget AnalystDuluth, GASalary: $60k-$70k Open to someone with 3-5 financial reporting/analyst experience  Responsibilities:· Collaborate with management to develop annual sales forecasts.· Produce weekly reports on actual sales...