Securities Compliance Officer or Compliance Attorney

Join Our Team

In 2025, USA Today recognized Primerica as a Top Workplace USA for the fifth year in a row, and Newsweek named Primerica one of America’s Greatest Workplaces for Diversity for the second consecutive year. In 2024, the Atlanta Journal-Constitution named Primerica as a Top Workplace for the eleventh consecutive year, and Forbes recognized Primerica as one of America’s Best Employers for Women for the fifth year in a row. In addition, for the tenth time Primerica has been voted a Best Employer by Gwinnett Magazine. Primerica is a great place to work! Join our team to experience what it’s like to work at “one of the best places to work in the metro Atlanta”.

About this PositionThe Securities Compliance Department of a Broker-Dealer and Registered Investment Adviser has an opening for a compliance professional or an attorney to join a team of Compliance Attorneys, Compliance Officers, and Compliance Analysts.

The Firm engages in the sale of mutual funds, variable annuities, 529 Plans, and also provides an advisory solution through its wrap fee program. Annuity products are provided by Brighthouse Financial, Corbridge Financial, Equitable Financial, and Lincoln Financial. Advisory solutions are provided through Primerica Advisors and assets custodied with Pershing LLC.

The compliance professional/attorney in this role will primarily focus on annuities exchanges but will also evaluate the surrender of annuities for other brokerage products or advisory solutions. The professional will provide guidance to home office employees and representatives on subjects including, but not limited to, annuity product details, internal procedures and policies, and regulatory requirements. The professional will assess transaction risks, adequacy of disclosures, and conflicts of interests for the benefit of the Firm’s clients, representatives, and stakeholders.

Salary: $90K - $120K

This is a hybrid position that involves working 3 days onsite in the Duluth, Georgia office and 2 days remotely.Responsibilities & Qualifications

ESSENTIAL DUTIES AND RESPONSIBILITES:

• Attend the Firm’s daily Annuity Exchange Committee meetings and evaluate annuity exchanges according to regulatory requirements.
• Evaluate costs, benefits, risks, and conflicts of interest related to changes to existing annuity products or the addition of new products.
• Engage with members of the sales force to provide education on annuity products and exchanges. 
• Ensure material facts or risks of certain annuity transactions receive effective disclosure to the Firm’s clients. 
• Interpret new and existing securities laws and regulations and use knowledge and experience to provide guidance to business units across the broker-dealer and registered investment adviser.
• Analyze existing policies, procedures, processes, and controls to determine gaps or areas for improvement. 
• Create training that may include in person training or written training such as bulletins and publications.
• Conduct compliance testing to ensure the Firm meets regulatory requirements.
• Coordinate with business units to create and modify policies and procedures to achieve compliance with regulatory requirements.
• Work with the management of business units to provide guidance and create, update and/or enhance policies and procedures and business assessment, as necessary.

REQUIRED SKILLS AND ABILITIES

• Excellent understanding of principles of personal finance and investing and ability to understand how various investment products or services can meet a client’s goals and objectives.
• Aptitude for developing comprehensive understanding of the Firm's securities business, specifically the variable annuity business
• Strong working knowledge and understanding of U.S. securities laws and regulations
• Intuitive understanding of and ability to apply mathematical concepts
• Excellent written and verbal communication skills and presentation skills
• Excellent organizational skills with the ability to handle multiple projects with attention to detail

• Detail-oriented with aptitude for identifying risk and capability to research complex problems and collaborate to create solutions
• Strong investigative and analytical skills as well as problem-solving and critical-thinking skills
• Strong sense of ethics, accountability, and judgment
• Great listening and communication skills with an ability to nurture positive relationships
• Microsoft Office products, e.g., Word, Excel, etc.

MINIMUM REQUIRED QUALIFICATIONS:

• Bachelor’s Degree
• FINRA SIE, Series 6, 26, and 65 securities licenses (or obtained within 150 days of hire)

PREFERRED QUALIFICATIONS:

• MBA, Juris Doctorate, or other advanced degree
• FINRA SIE, Series 7, 24, and 66 securities licenses (or obtained within 150 days of hire)
• 2-5 years of experience in the financial services industry
• Experience at or interfacing with securities regulators, such as FINRA, SEC, and/or state regulators
• Relevant compliance experience, including policies and procedures development, compliance risk assessments, responding to regulatory inquiries, etc.
• Comprehensive understanding of mutual funds, annuities, particularly those issued by the Firm’s annuity partners, and/or advisory products (knowledge of the Pershing and the NetX platform)
• Experience with FINRA Gateway and/or WebCRD
• Strong project management skills

#Dice

#LI-SH1

FLSA status:
This position is exempt (not eligible for overtime pay):

YesOur 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

It has been and will continue to be the policy of Primerica, Inc., and its subsidiaries to be an Equal Opportunity Employer. We provide equal opportunity to all qualified individuals regardless of race, sex, color, religious creed, religion, national origin, citizenship status, age, disability, pregnancy, ancestry, military service or veteran status, genetic or carrier status, marital status, sexual orientation, or any classification protected by applicable federal, state or local laws.

At Primerica, we believe that diversity and inclusion are critical to our future and our mission – creating a foundation for a creative workplace that leads to innovation, growth, and profitability. Through a variety of programs and initiatives, we invest in each employee, seeking to ensure that our people are not only respected as individuals, but also truly valued for their unique perspectives.