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Securities Regulatory Counsel

2 months 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, along with a solid understanding of relevant securities laws, are encouraged to apply.

Key Responsibilities

The successful candidate will be responsible for:

  • Offering legal guidance related to the distribution of financial products such as mutual funds, annuities, and retirement plans.
  • Collaborating with the legal team on various aspects of the business, including product evaluations, vendor agreements, and compliance with regulatory requirements.
  • Assisting in the administration of customer accounts and addressing inquiries from investors and regulatory bodies.

Qualifications

To be considered for this role, candidates should possess:

  • A Juris Doctor degree and membership in a 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. Primerica offers a comprehensive benefits package that includes:

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

Diversity and Inclusion

Primerica is committed to fostering a diverse and inclusive workplace. We believe that a variety of perspectives enhances our ability to innovate and grow. We are an Equal Opportunity Employer and value all qualified individuals, ensuring respect and appreciation for their unique contributions.