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Securities Law Counsel for Investment Firms
2 months ago
Position Overview
The Securities Business Counsel department is in search of a qualified Attorney to provide legal support to its affiliate, a registered broker-dealer and investment adviser. Candidates with experience in the securities industry, whether in-house, at a law firm, or within regulatory bodies, are encouraged to apply. A solid understanding of the Securities Act of 1933, Securities Exchange Act of 1934, Investment Advisers Act of 1940, ERISA, FINRA regulations, SEC guidelines, and state securities laws is highly desirable.
Key Responsibilities
Primary Duties:
- Offer legal guidance related to the distribution of mutual funds, annuities, IRAs, and employer-sponsored retirement plans, along with the firm’s wrap-fee advisory program.
- Collaborate with the existing legal team on various aspects of the firm’s operations, including product due diligence, vendor agreements, brokerage and advisory agreements, training, advertising reviews, regulatory disclosures, and filings.
- Assist the firm’s affiliated mutual fund recordkeeper with customer account administration, which may involve addressing inquiries from investors and regulatory bodies.
Qualifications
Essential Skills and Experience:
- Juris Doctor degree.
- Active member of any state bar association.
- Possession of Series 6, 26, and 65 securities licenses (or the ability to obtain them within 150 days of hire).
- 1-3 years of relevant experience in securities law or related legal fields preferred.
- Strong analytical, legal research, and writing skills.
- Excellent interpersonal and communication abilities.
Compensation and Benefits
This position is classified as exempt, meaning it is not eligible for overtime pay. Our comprehensive benefits package includes:
- Health, dental, and vision insurance from day one.
- 401(k) plan with competitive employer matching.
- Generous vacation, sick leave, holiday, and volunteer time off.
- Life and disability insurance.
- Flexible Savings Account and Health Savings Account options.
- Opportunities for professional development and tuition reimbursement.
- Participation in company-sponsored social and philanthropic events.
Diversity and Inclusion Commitment
Primerica, Inc. is dedicated to being an Equal Opportunity Employer. We ensure equal opportunity for all qualified individuals, regardless of race, sex, color, religious creed, national origin, age, disability, or any other classification protected by applicable laws. We believe that fostering diversity and inclusion is essential for our future success and for creating a workplace that promotes innovation and growth.
