Job Description: The Surveillance Administrator is responsible for researching surveillance and monitoring exception reports designed to identify sales practice issues, red flags, concerning business trends, or patterns of unusual activity. Job Responsibilities: Analyzing and monitoring exception reports for potential violations of firm policies or regulatory rules, as well as potential sales practice issues. This requires being knowledgeable of complex securities topics, including sales practices, general compliance, Firm policies and procedures for all areas of securities and typical best practices. Ability to identify when activity within account(s) is inconsistent with the documented investment objective and must be able to clearly summarize activity on reports and make informed decisions on whether further action/research is required through case work. Applying 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. Utilize internal or third-party systems and contacts to research purchase and redemption activity within brokerage accounts. Must be proficient in knowledge of internal and external systems uses for image storage, transactional data,etc.). Identify, comprehend and communicate potentially complex securities topics, including sales practices, general compliance, Firm policies and procedures, best practices. Contact with investment clients to ensure their satisfaction with the services provided by their representative. Diagnose potential violations of the Firm's policies and procedure and be knowledgeable of when this information needs to be referred to other departments or addressed internally. Job Requirements: Bachelor’s degree or equivalent experience in the investment industry Excellent communication and presentation skills with the ability to communicate effectively across various departments and levels of the organization Series 6, 26 (or 7, 24) licenses required; can be obtained through a learning agreement Strong decision-making, investigative, and analytical skills as well as problem-solving and critical-thinking skills A lifelong learner who enjoys growing from experiences and bringing ideas to the tabl3 Detail-oriented with aptitude for identifying risk and capability to research complex problems and collaborate to create solutions. Strong sense of ethics, accountability, and judgment. A positive outlook with a strong desire to help others Highly proficient computer skills, including the use of MS Word, Excel, PowerPoint, data management programs, and CRMs Intermediate knowledge of PC and Microsoft Office Word/Excel Job Details: Company: Primerica Vacancy Type: Full Time Job Location: Duluth, GA, US Application Deadline: N/A Apply Here instantcareers.net
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