Compliance Officer, Securities
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Job Location:
Duluth, MN - USA
Monthly Salary:
Not Disclosed
Posted on:
5 days ago
Vacancies:
1 Vacancy
Job Summary
Join Our Team
In 2025 USA Today recognized Primerica as a Top Workplace USA for the fifth year in a row and Newsweek named Primerica one of Americas Greatest Workplaces for Diversity for the second consecutive 2024 the Atlanta Journal-Constitution named Primerica as a Top Workplace for the eleventh consecutive year and Forbes recognized Primerica as one of Americas Best Employers for Women for the fifth year in a addition for the tenth time Primerica has been voted a Best Employer by Gwinnett Magazine. Primerica is a great place to work! Join our team to experience what its like to work at one of the best places to work in the metro Atlanta.
About this Position
The Securities Compliance Department of two Broker-Dealers and Registered Investment Adviser has an opening for a compliance professional or an attorney to join a team of Compliance Attorneys Compliance Officers and Compliance Analysts. This role is responsible for reviewing securities laws and regulations developing policies and procedures sufficient to comply with regulatory requirements and conducting compliance testing to identify and manage regulatory risk. This person will be responsible for understanding the securities products offered by the Firm including mutual funds variable annuities 529 Plans and a wrap-fee advisory product. This person will also be responsible for providing guidance and training to the business and registered representatives.This is a hybrid position that involves working 3 days onsite in the Duluth Georgia office and 2 days remotely.
The salary range for this position is 90k-120k
Responsibilities & Qualifications
ESSENTIAL DUTIES AND RESPONSIBILITES:
- Interpret new and existing securities laws and regulations and use knowledge and experience to provide guidance to business units across the broker-dealers and registered investment adviser.
- Work directly with registered representatives and regulators such as FINRA SEC and the Securities Divisions of each state on responses to regulatory inquiries.
- Serve as subject matter expert and represent the Compliance Department in business meetings and on committees.
- Analyze existing policies procedures processes and controls to determine gaps or areas for improvement.
- Assist the Compliance Department with researching and analyzing relevant compliance-related information in an effort to identify potential issues trends risks and/or training opportunities.
- Create training that may include in person training or written training such as bulletins and publications.
- Conduct compliance testing to ensure the broker-dealers and registered investment adviser are meeting regulatory requirements.
- Prepare and submit timely regulatory filings such as Form BD amendments NSCC notifications and other required filings to applicable regulators.
- Work with business units to provide guidance and create update and/or enhance policies and procedures to achieve compliance with regulatory requirements.
REQUIRED SKILLS AND ABILITIES:
- Ability to manage multiple priorities and quickly and efficiently adapt to changes in procedures or policies
- Ability to function independently as well as well as cooperatively
- Ability to perform assigned tasks within the specified time frames and meet quality expectations
- Ability to conduct research and provide management with proposed solutions
- Thorough and detail-oriented with aptitude for identifying risk and capability to research complex problems and collaborate to create solutions
- Microsoft Office products e.g. Word Excel etc.
- Excellent analytical research and writing skills
- Excellent interpersonal relationship skills
- Excellent verbal and written communication skills
- Strong sense of ethics accountability and judgment
MINIMUM REQUIRED QUALIFICATIONS:
- Bachelors Degree
- FINRA SIE Series 7 24 and 65/66 securities licenses (or obtained within 150 days of hire)
PREFERRED QUALIFICATIONS:
- MBA Juris Doctorate or other advanced degree
- 2-5 years of experience in the financial services industry
- Experience with securities regulators such as FINRA SEC and the Securities Divisions of each state
- Strong working knowledge and understanding of US securities laws and regulations
- Relevant compliance experience including policies and procedures development compliance risk assessments responding to regulatory inquiries completing regulatory filings etc.
- Comprehensive understanding of mutual funds annuities and/or advisory products
- Experience with FINRA Gateway and/or WebCRD
FLSA status:
This position is exempt (not eligible for overtime pay):
Our Benefits:
Day one health dental and vision insurance
401(k) Plan with competitive employer match
Vacation sick holiday and volunteer time off
Life and disability insurance
Flexible Spending Account & Health Savings Account
Professional development
Tuition reimbursement
Company-sponsored social and philanthropy events
It has been and will continue to be the policy of Primerica Inc. and its subsidiaries to be an Equal Opportunity Employer. We provide equal opportunity to all qualified individuals regardless ofrace sex color religious creed religion national origin citizenship status age disability pregnancy ancestry military service or veteran status genetic or carrier status marital status sexual orientation or any classification protected by applicable federal state or local laws.
At Primerica we believe that diversity and inclusion are critical to our future and our mission creating a foundation for a creative workplace that leads to innovation growth and profitability. Through a variety of programs and initiatives we invest in each employee seeking to ensure that our people are not only respected as individuals but also truly valued for their unique perspectives.
Required Experience:
Unclear Seniority
Key Skills
- Compliance Management
- Risk Management
- Financial Services
- PCI
- Banking
- Cost Accounting Standards
- Quality Systems
- Research Experience
- NIST Standards
- Securities Law
- SOX
- ISO 27000
About Company
Primerica (NYSE: PRI) is a leading financial products and services company that distributes term life insurance, mutual funds, and annuities in the United States, Canada, Puerto Rico and Guam. Primerica has over 141,000 independent, licensed sales representatives who provide financia ... View more
