Compliance Analyst

About the role

In 2024, Primerica was recognized as a Top Workplace by the Atlanta Journal-Constitution and Forbes. The company has also been voted as one of the Best Employers by Gwinnett Magazine for ten consecutive years.

Responsibilities

• Review, research, interpret, and analyze risks associated with requests received from registered representatives to participate in outside business activities.
• Apply reasonable judgment when working with the sales force to fully understand the nature of the activity, the representative’s role, and the presence of potential conflicts to the public.
• Communicate clearly, concisely, and constructively both in writing and verbally with members of the sales force during the review process and regarding resolution.
• Present an overview of activity and risks to Senior Management as appropriate or when a decision is appealed by Senior Field Leadership.
• Identify and escalate potential issues or risks when needed.
• Protect the company’s authority to do business by complying with legal and ethical standards, policies, and procedures.

Qualifications

• Bachelor’s degree or related major or equivalent work experience.
• Series 6 and 26 or 7 and 24 licenses required; can be obtained through a learning agreement.
• Attention to detail.
• Excellent written and oral communication.
• Proven ability to effectively and efficiently complete multiple tasks and prioritize assignments as needed.
• Ability to function independently as well as cooperatively.
• Advanced research, internet search, and analytical skills.
• Intermediate knowledge of PC and Microsoft Office Word/Excel/PowerPoint.
• Knowledge of securities industry desired.
• Knowledge of Primerica’s internal systems desired.

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.

Schedule

This is a hybrid position requiring working 2 days onsite (Tuesday and Wednesday) at our Duluth, Georgia office and 3 days remotely each week.

Pay

The salary range for this position is between $55K - $65K annually.