Securities Law Counsel for Investment Services

2 weeks ago

Duluth, Minnesota, United States Primerica Full time

Position Overview

The Securities Business Counsel division is in search of a qualified Attorney to provide legal support for its affiliate, a registered broker-dealer and investment adviser. Candidates with experience in the securities sector, whether in-house, at a law firm, or in regulatory roles, are encouraged to apply. Familiarity with the Securities Act of 1933, Securities Exchange Act of 1934, Investment Advisers Act of 1940, ERISA, FINRA regulations, SEC guidelines, and state securities legislation is advantageous.

Key Responsibilities

The selected candidate will be responsible for:

  • Offering legal guidance related to the distribution of mutual funds, annuities, IRAs, and employer-sponsored retirement plans.
  • Collaborating with the legal team on various aspects of the firm's operations, including product due diligence, vendor contracts, brokerage and advisory agreements, training, advertising assessments, regulatory disclosures, and compliance monitoring.
  • Assisting the affiliated mutual fund recordkeeper with customer account management, which may involve addressing inquiries from investors and regulatory bodies.

Qualifications

To be considered for this role, candidates should possess:

  • A Juris Doctor degree.
  • Membership in any state bar association.
  • 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.
  • Strong analytical, research, and writing skills.
  • Excellent interpersonal and communication abilities.

Compensation and Benefits

This position is classified as exempt (not eligible for overtime). Our comprehensive benefits package includes:

  • Health, dental, and vision insurance from day one.
  • A competitive 401(k) plan with employer matching.
  • Generous vacation, sick leave, holiday, and volunteer time off.
  • Life and disability insurance.
  • Flexible Spending Account and Health Savings Account options.
  • Opportunities for professional development and tuition reimbursement.
  • Participation in company-sponsored social and philanthropic events.

Diversity and Inclusion

Primerica, Inc. and its subsidiaries are committed to being an Equal Opportunity Employer. We provide equal opportunities to all qualified individuals regardless of race, gender, color, religion, national origin, age, disability, or any other classification protected by applicable laws. We believe that diversity and inclusion are essential to our success and strive to create a workplace that fosters innovation and growth.

  • Securities Law Counsel for Investment Services

    2 weeks ago

    Duluth, Minnesota, United States Primerica Full time

    Position OverviewThe Securities Business Counsel department is looking for 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, in a law firm, or in regulatory roles, along with a solid understanding of key securities...

  • Securities Law Counsel for Investment Firms

    2 weeks ago

    Duluth, Minnesota, United States Primerica Full time

    Position OverviewThe 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...

  • Investment Adviser Legal Counsel

    1 week ago

    Duluth, Minnesota, United States Primerica Full time

    Position OverviewThe Securities Business Counsel division 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 sector, whether in-house, in a law firm, or in regulatory roles, along with familiarity with key securities legislation such...

  • Securities Regulatory Counsel

    2 weeks ago

    Duluth, Minnesota, United States Primerica Full time

    Position OverviewThe 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, along with a solid understanding of relevant...

  • Securities Regulation Attorney

    1 week ago

    Duluth, Minnesota, United States Primerica Full time

    Position OverviewThe 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...

  • Director of Counseling Services

    6 days ago

    Duluth, Minnesota, United States University of Minnesota Full time

    About the PositionWe are seeking a highly qualified and experienced professional to serve as the Director of Counseling Services at the University of Minnesota. This is a key leadership role that requires a strong background in counseling, supervision, and administration.Key ResponsibilitiesLeadership and Administration: Provide strategic direction and...

  • Junior Legal Counsel

    2 weeks ago

    Duluth, Minnesota, United States Burrow & Associates Full time

    Position OverviewAt Burrow & Associates, we believe in the power of diversity and inclusion. Our team is composed of talented individuals from various backgrounds, which enriches our firm and enhances our ability to serve our clients effectively.We are currently seeking a Junior Legal Counsel who is passionate about making a positive impact in the legal...

  • Armed Security Officer

    3 days ago

    Duluth, Minnesota, United States General Security Services Corporation Full time

    Job SummaryWe are seeking a highly skilled and experienced Armed Security Officer to join our team at General Security Services Corporation. As a key member of our security team, you will be responsible for providing top-notch security services to our clients, ensuring their safety and security at all times.Key ResponsibilitiesClient Protection: Provide...

  • Substance Abuse Counselor

    2 weeks ago

    Duluth, Minnesota, United States Center for Alcohol and Drug Treatment Full time

    Position OverviewSummaryThe Center for Alcohol and Drug Treatment is seeking dedicated Licensed Alcohol and Drug Counselors (LADC), Associate Drug Counselors (ADC-T), or Social Workers (SW) to provide essential guidance and support to our clients. In this role, you will assist individuals in developing coping strategies to navigate challenging situations....

  • Safety and Security Specialist

    2 weeks ago

    Duluth, Minnesota, United States Center for Alcohol and Drug Treatment Full time

    Position OverviewRole SummaryThe Safety and Security Specialist is tasked with overseeing the safety protocols at the Center for Alcohol and Drug Treatment, ensuring a secure environment for both patients and staff. This role involves managing access to the facility, addressing potential disturbances, and maintaining a vigilant presence throughout the...

  • Security Site Manager

    20 hours ago

    Duluth, Minnesota, United States Securitas Inc. Full time

    About the JobWe are seeking a highly skilled and experienced Security Site Supervisor to join our team at Securitas Inc. As a Security Site Supervisor, you will be responsible for overseeing the security operations at our client's premises, ensuring the safety and security of people and assets.Key Responsibilities:Supervise and coordinate the activities of...

  • Safety and Security Manager

    5 days ago

    Duluth, Minnesota, United States Gas South District Full time

    Job SummaryWe are seeking a highly skilled and experienced Director of Safety and Security to join our team at Gas South District. The successful candidate will be responsible for overseeing all safety and security efforts related to our facilities and surrounding grounds.Key ResponsibilitiesDevelop and implement comprehensive safety and security plans to...

  • Security and Emergency Response Director

    5 days ago

    Duluth, Minnesota, United States Gas South District Full time

    Job SummaryWe are seeking a highly skilled and experienced Director of Safety and Security to join our team at Gas South District. The successful candidate will be responsible for overseeing all safety and security efforts related to our facilities and surrounding grounds.Key ResponsibilitiesDevelop and implement comprehensive safety and security plans to...

  • Director of Safety and Security Operations

    5 days ago

    Duluth, Minnesota, United States Gas South District Full time

    Job SummaryWe are seeking a highly skilled and experienced Director of Safety and Security to join our team at Gas South District. The successful candidate will be responsible for overseeing all safety and security efforts related to our facilities and surrounding grounds.Key ResponsibilitiesDevelop and implement comprehensive safety and security plans to...

  • Safety and Security Specialist

    17 hours ago

    Duluth, Minnesota, United States Primerica Full time

    ****Become a Valued Member of Our Team**** Our organization is committed to providing a secure environment for all employees and visitors. We pride ourselves on maintaining a safe atmosphere within our facilities. Recognized for our exceptional workplace culture, we have consistently been acknowledged as a top employer in our region. Our dedication to...

  • Security Officer

    5 days ago

    Duluth, Minnesota, United States Primerica Full time

    About This PositionThis is an onsite role that requires a high level of professionalism and attention to detail.Responsibilities:Greet visitors and staff in a professional and polite manner.Monitor employee and visitor traffic to be alert to suspicious persons or situations.Advise supervisor of potential security problems.Receive complaints and/or...

  • Primerica Security Team Member

    6 days ago

    Duluth, Minnesota, United States Primerica Full time

    About This PositionThis is an onsite role that requires a high level of professionalism and attention to detail.Responsibilities:Greet visitors and staff in a courteous and polite manner.Monitor employee and visitor traffic to identify potential security risks.Report any security concerns to the supervisor.Receive and respond to complaints and information...

  • Financial Services Specialist

    3 days ago

    Duluth, Minnesota, United States Magellan Health Full time

    Job SummaryWe are seeking a highly skilled Financial Services Specialist to join our team at Magellan Health. As a key member of our team, you will provide expert financial guidance and support to military service members and their families.Key ResponsibilitiesProvide comprehensive financial counseling and management services to service members and their...

  • Law Firm Associate

    1 week ago

    Duluth, Minnesota, United States TBG | The Bachrach Group Full time

    **About TBG | The Bachrach Group**We are a reputable law firm seeking an experienced Associate Attorney to join our team. As a key member of our team, you will be responsible for providing legal services to our clients.**Key Responsibilities:**Must be licensed to practice law in the state of GeorgiaMust have a strong desire to learn and specialize in real...

  • Financial Services Specialist

    1 day ago

    Duluth, Minnesota, United States Magellan Health Full time

    Job SummaryWe are seeking a highly skilled Financial Services Specialist to join our team at Magellan Health. As a key member of our team, you will provide expert financial guidance and support to military service members and their families.Key ResponsibilitiesFinancial Counseling: Provide one-on-one counseling and consultation services to military service...