Securities Regulation Attorney

1 week ago

Duluth, Minnesota, United States Primerica Full time

Position Overview

The Securities Business Counsel department is looking for a qualified Attorney to provide legal support for its affiliate, a registered broker-dealer and investment adviser. Candidates with experience in the securities industry, whether in-house, at a law firm, or in a regulatory capacity, are encouraged to apply. Familiarity with key regulations such as the Securities Act of 1933, Securities Exchange Act of 1934, Investment Advisers Act of 1940, ERISA, FINRA rules, SEC regulations, and state securities laws is preferred.

Key Responsibilities

Primary Duties:

  • Offer legal guidance related to the distribution of mutual funds, annuities, IRAs, and employer-sponsored retirement plans, including the firm’s wrap-fee advisory program.
  • Collaborate with the legal team on various aspects of the firm’s operations, including product due diligence, vendor agreements, brokerage and advisory agreements, training, advertising review, regulatory disclosures, and monitoring regulatory changes.
  • Assist the firm’s affiliated mutual fund recordkeeper with customer account administration, which may involve addressing inquiries from investors, regulatory bodies, and other stakeholders.

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 must obtain within 150 days of hire).
  • 1-3 years of relevant experience in securities law or related legal fields is preferred.
  • Strong analytical, legal research, and writing skills.
  • Excellent interpersonal and communication abilities, both written and verbal.

Compensation and Benefits

This position is classified as exempt (not eligible for overtime). We offer a comprehensive benefits package that 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 & Health Savings Account.
  • Opportunities for professional development and tuition reimbursement.
  • Participation in company-sponsored social and philanthropic events.

Diversity and Inclusion

At Primerica, we are committed to being an Equal Opportunity Employer. We provide equal opportunities to all qualified individuals regardless of race, sex, color, religious creed, national origin, citizenship status, age, disability, pregnancy, ancestry, military service, genetic status, marital status, sexual orientation, or any classification protected by applicable laws. We believe that diversity and inclusion are vital to our success and are dedicated to fostering a workplace that values unique perspectives and promotes innovation.

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