Brokerage Surveillance Analyst
Primerica · Duluth, GA · 1 wk ago
Finance$55k–$60k/yrFull-time
About the role
In 2024, Primerica was recognized as a Top Workplace by the Atlanta Journal-Constitution and Forbes, and as one of America’s Best Employers for Women by Forbes. Additionally, Primerica has been voted a Best Employer by Gwinnett Magazine for ten consecutive years.
Responsibilities
- Collect transactional and account information and summarize information in a digestible format using internal tracking systems.
- Identify, comprehend and communicate potentially complex securities topics, including sales practices, general compliance, Firm policies and procedures, best practices.
- Apply reasonable judgment when working with advisors to provide solutions to problems while ensuring compliance with firm policies and regulatory rules.
- Educate, promote and reinforce the Firm's policies and procedures and best practices surrounding the investment business to support the sales force grow their business in a compliant manner.
- Contact with investment clients to ensure their satisfaction with the services provided by their representative.
- Diagnose potential violations of the Firm's policies and procedures and be knowledgeable of when this information needs to be referred to other departments or addressed internally.
- Utilize internal or third-party systems and contacts to research purchase and redemption activity within brokerage accounts.
- Analyze and monitor exception reports for potential violations of firm policies or regulatory rules, as well as potential sales practice issues.
- Clearly and concisely communicate complex account activity that have potential sales practice violations to senior management in a digestible format.
- Communicate decisions made by senior management in a constructive manner.
- Complete required paperwork and provide training on complex securities topics.
Qualifications
- Bachelor’s degree or equivalent experience in the investment industry.
- SIE, Series 6, 26 (or 7, 24) licenses required; can be obtained through a learning agreement.
- Intermediate knowledge of PC and Microsoft Office Word/Excel.
Skills & Abilities
- Strong working knowledge of brokerage products and brokerage product suitability and ability to identify and recommend resolutions for compliance pitfalls, including suitability, selling away, outside business activities, anti-money laundering, elderly, diminished capacity and commission systems.
- Working knowledge of SEC, FINRA, MSRB rules and their applicability to the Firm.
- Excellent organizational skills with the ability to handle multiple high priority projects with attention to details.
- Detail-oriented with aptitude for identifying risk and capability to research complex problems and collaborate to create solutions.
- Strong decision-making, investigative, and analytical skills as well as problem-solving and critical-thinking skills.
- Highly proficient computer skills, including the use of MS Word, Excel, PowerPoint, data management programs, and CRMs.
- Strong sense of ethics, accountability, and judgment.
- Excellent communication and presentation skills with the ability to communicate effectively across various departments and levels of the organization.
- A lifelong learner who enjoys growing from experiences and bringing ideas to the table.
- A positive outlook with a strong desire to help others.
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.
Pay
The salary range for this role is $55k-$60k.
Schedule
This is a hybrid position that offers flexibility for remote and onsite work. Candidate must be local and be available to work both onsite and remotely during the week.