Securities Compliance Officer or Compliance Attorney Position Available In [Unknown county], Georgia

Securities Compliance Officer or Compliance Attorney Securities Compliance Officer or Compliance Attorney
locations
Georgia
time type
Full time
posted on
Posted 13 Days Ago
job requisition id
R-216:042025
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 America’s Greatest Workplaces for Diversity for the second consecutive year. In 2024, the Atlanta Journal-Constitution named Primerica as a Top Workplace for the eleventh consecutive year, and Forbes recognized Primerica as one of America’s Best Employers for Women for the fifth year in a row. In 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 it’s 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 a 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 the Firm’s Anti-Money Laundering (AML) Program, Customer Identification Program (CIP) and Elderly/Vulnerable Exploitation Program. This includes but is not limited to, conducting investigations into potential suspicious activity and completing required regulatory reporting timely such as filing Suspicious Activity Reports (SARs). 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 estimated salary range for this role is: 90K 120K
Responsibilities & Qualifications
Essential Job Duties and Responsibilities Conduct investigations into potential unusual activity and potential elderly/vulnerable exploitation and determine if there is required regulatory reporting
File required Suspicious Activity Reports (SARs) with FinCEN and conduct required follow-up investigations
Contact representatives and/or clients to investigate and detect potential unusual activity and/or elderly/vulnerable exploitation
Aid in the improvement of tools to monitor, analyze, and report suspicious activity such as conducting high risk jurisdiction reviews and reviewing alerts in the Actimize system
Coordinate with an outside consulting firm to conduct the annual independent review of the Firm’s AML Program
Provide AML and Senior and Elderly exploitation guidance and training to the business and the salesforce
Work with the transfer agent and outside fund companies to prevent fraudulent activity and/or financial exploitation and place freezes on accounts when necessary
Maintain and enhance AML policies and procedures, including the AML Program, CIP Program, and Identity Theft Prevention Program
Help with identifying any AML loopholes and coordinating projects to bridge those gaps
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.
Analyze existing policies, procedures, processes, and controls to determine gaps or areas for improvement. 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.
Coordinate with business units to create and modify policies and procedures to achieve compliance with regulatory requirements.
Work with the management of business units to provide guidance and create, update and/or enhance policies and procedures and business assessment, as necessary.

Required Qualifications:

Bachelor’s Degree
FINRA SIE, Series 7, 24 and 65/66 securities licenses (or obtained within 150 days of hire)
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
Excellent Word, PDF, Excel, and PowerPoint skills
Excellent analytical, research, and writing skills
Excellent interpersonal relationship skills
Excellent verbal and written communication skills

Preferred Qualifications:

MBA, Juris Doctorate or other advanced degree
2-5 years of experience in the financial services industry
Experience at or interfacing 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
Anti-Money Laundering (AML) experience
CAMS certification
Relevant compliance experience, including policies and procedures development, compliance risk assessments, responding to regulatory inquiries, etc.
Comprehensive understanding of mutual funds, annuities and/or advisory products
Experience with FINRA Gateway and/or WebCRD
Strong project management skills
FLSA status:
This position is exempt (not eligible for overtime pay):
Yes

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 of race, 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.
Join Our Team
Our Company headquarters is located in Duluth, GA. The 367,000-square-foot building houses employees who provide first-class support to our sales force as they build their business and serve clients.
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 Savings Account & Health Savings Account
Professional development
Tuition reimbursement
Company-sponsored social and philanthropy events