Primerica Opportunity – Securities Compliance Analyst

Job Description:

The Securities Compliance Department seeks Securities Compliance Analyst who will assist in the development, implementation and maintenance of an effective compliance program to ensure the Broker Dealer and Investment Adviser are in compliance with applicable securities laws and regulations. This position will support management in day-to-day tasks related to Anti-Money Laundering (“AML”), compliance monitoring and testing, regulatory responses, regulatory exams, publications, and sales force training calls.

Job Responsibilities:

• Conduct training to the sales force to ensure they understand and comply with regulatory requirements
• Identify potential gaps in policies and procedures
• Engage with multiple business units to conduct compliance testing
• Identify and escalate potential issues when needed
• Develop test plans to assess the adequacy of policies and procedures
• Research and analyze relevant compliance-related information in an effort to identify potential issues, trends, risks and/or training opportunities
• Validate corrective action plans to ensure the desired results are being achieved
• Assist the AML Compliance Officer with the administration of the firm’s AML Program
• Implement and test compliance controls and assess the effectiveness of the controls
• Assist Compliance Officers and Attorneys with regulatory responses, regulatory exams and compliance testing
• Responsibilities not limited to this list
• Conduct compliance testing, quality assurance and ad-hoc reviews to ensure the Broker Dealer’s and Registered Investment Adviser’s policies and procedures are sufficient and are being followed to meet regulatory requirements

Job Requirements:

• Knowledge of PFS Investments Inc.’s internal systems.
• Attention to detail and excellent written and oral communication
• Proven ability to effectively and efficiently complete multiple tasks and prioritize assignments as needed
• Experience with SQL
• Advanced knowledge of Microsoft Excel and Word
• Knowledge of securities industry
• Ability to function independently as well as cooperatively
• Strong analytical skills
• Bachelor’s degree in business or related major or equivalent work experience
• FINRA Series 6, 26 and 65 securities licenses and FINRA SIE exam (when applicable) are required (or obtained within 150 days of hire)
• Experience with Microsoft Access
• 3+ years of testing/audit experience
• Series 7, 24 and 66 securities licenses and SIE Exam (or willing to obtain within 150 days of hire)

Job Details:

Company: Primerica

Vacancy Type: Full Time

Job Location: Duluth, GA, US

Application Deadline: N/A

Apply Here

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