Brokerage Surveillance Analyst

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.