Securities Compliance Officer - AML & Elderly/Vulnerable Specialist

About the role

Investor and financial services company Primerica is seeking a compliance professional or attorney to join their Securities Compliance Department. This role is based in Duluth, Georgia, with a hybrid schedule.

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
• Run and research weekly AML reports, such as OFAC and 314(a) and ensure required reporting is made timely
• Review on all new entity account applications for potential AML concerns
• Contact representatives and 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
• Conduct an annual AML risk assessment
• Aid in regulatory examinations and inquiries related to AML
• 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 place freezes on accounts when necessary
• Maintain and enhance AML policies and procedures, including the AML Program and CIP Program
• Maintain the AML Identity Theft Prevention Program
• Identify any AML loopholes and coordinate projects to bridge those gaps

Qualifications

• Bachelor’s Degree
• 2+ years of professional experience, preferably in the investment industry
• Securities licenses (e.g., SIE Exam, Series 7, 24 and 66), or obtained within 150 days of hire
• High degree of attention to detail and thoroughness are essential for this role
• Self-starter and excellent analytical skills
• Ability to manage multiple priorities in a fast-paced, ever-changing environment
• Excellent Word, PDF, Excel, and PowerPoint skills
• Excellent analytical, research, and writing skills
• Excellent interpersonal relationship skills
• Excellent verbal and written communication skills and presentation skills
• Excellent organizational skills with the ability to handle multiple projects with attention to detail