Compliance Officer or Attorney, Securities (Financial Services Industry)

Primerica

Duluth (GA)

On-site

USD 90,000 - 120,000

Full time

14 days+

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Benefits offered by this job

Day one health, dental, and vision

401(k) Plan with employer match

Vacation, sick, holiday and volunteer

Life and disability insurance

Tuition reimbursement

Professional development

Company-sponsored events

Job summary

Primerica seeks a Compliance Attorney/Officer to join a team of professionals in Duluth, GA, with hybrid work: 3 days onsite, 2 days remote. You will review securities laws, develop compliant policies, and train business units to meet regulatory requirements.

The role emphasizes guidance to registered representatives and interaction with FINRA, SEC, and state regulators. Ideal candidates hold a Bachelor’s degree, FINRA licenses or pending within 150 days, and 2–5 years in financial services,

Qualifications

Bachelor’s degree required; FINRA licenses required or obtained within 150 days.
2–5 years in financial services; knowledge of US securities laws.
MBA/JD or other advanced degree preferred; strong regulatory research.

Responsibilities

Interpret securities laws and guide business units.
Interact with FINRA, SEC and state regulators on inquiries.
Represent Compliance in meetings and committees.
Analyze policies, controls, and identify gaps/improvements.
Research regulatory information to identify issues and training needs.
Create training materials, including bulletins and publications.
Conduct compliance testing for broker-dealers and RIAs.
Coordinate with units to implement corrective action plans.
Validate effectiveness of corrective actions with ad-hoc testing.
Update policies to meet regulatory requirements.

Skills

Regulatory compliance

Regulatory research

Legal writing

Analytical skills

Detail oriented

Time management

Communication

Ethics & judgment

Education

Bachelor’s Degree

FINRA SIE, Series 7, 24, 65/66 licenses

MBA, JD or advanced degree

Tools

FINRA Gateway

WebCRD

Job description

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 Position

The Securities Compliance Department of two Broker-Dealers 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. This role is responsible for reviewing securities laws and regulations, developing policies and procedures sufficient to comply with regulatory requirements, and conducting compliance testing to identify and manage regulatory risk. This person will be responsible for understanding the securities products offered by the Firm, including mutual funds, variable annuities, 529 Plans and a wrap-fee advisory product. This person will also be responsible for providing guidance and training to the business and registered representatives. This is a hybrid position that involves working 3 days onsite in the Duluth, Georgia office and 2 days remotely. This role is not eligible for sponsorship now or in the future. The salary range for this position is 90k-120k.

Essential Duties and Responsibilities

Interpret new and existing securities laws and regulations and use knowledge and experience to provide guidance to business units across the broker-dealers and registered investment adviser.
Work directly with registered representatives and regulators such as FINRA, SEC and the Securities Divisions of each state on responses to regulatory inquiries.
Serve as subject matter expert and represent the Compliance Department in business meetings and on committees.
Analyze existing policies, procedures, processes, and controls to determine gaps or areas for improvement.
Assist the Compliance Department with researching and analyzing relevant compliance-related information in an effort to identify potential issues, trends, risks and/or training opportunities.
Create training that may include in person training or written training such as bulletins and publications.
Conduct compliance testing to ensure the broker-dealers and registered investment adviser are meeting regulatory requirements.
Responsible for working with all the different business units to ensure corrective action plans are completed accurately and timely.
Complete ad-hoc testing to validate corrective actions plans to ensure the corrective action plans are effective.
Work with business units to provide guidance and create, update, and/or enhance policies and procedures to achieve compliance with regulatory requirements.

Required Skills and Abilities

Ability to manage multiple priorities and quickly and efficiently adapt to changes in procedures or policies
Ability to function independently as well as well as cooperatively
Ability to perform assigned tasks within the specified time frames and meet quality expectations
Ability to conduct research and provide management with proposed solutions
Thorough and detail-oriented with aptitude for identifying risk and capability to research complex problems and collaborate to create solutions
Microsoft Office products, e.g., Word, Excel, etc.
Excellent analytical, research, and writing skills
Excellent interpersonal relationship skills
Excellent verbal and written communication skills
Strong sense of ethics, accountability, and judgment

Minimum Required Qualifications

Bachelor’s Degree
FINRA SIE, Series 7, 24 and 65/66 securities licenses (or obtained within 150 days of hire)
MBA, Juris Doctorate or other advanced degree
2-5 years of experience in the financial services industry
Experience with securities regulators, such as FINRA, SEC and the Securities Divisions of each state
Experience completing legal and/or regulatory research
Strong working knowledge and understanding of US securities laws and regulations
Relevant compliance experience, including policies and procedures development, compliance risk assessments, responding to regulatory inquiries, completing regulatory filings etc.
Comprehensive understanding of mutual funds, annuities and/or advisory products
Experience with FINRA Gateway and/or WebCRD

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

Our 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

Equal Opportunity & Diversity Statement

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.

About Primerica

Primerica is a leading provider of financial products and services to middle-income families in the U.S. and Canada. Since 1977, Primerica has helped millions of middle-income households protect their families and save for the future. We insure over 5.5 million lives and have approximately 3.0 million client investment accounts. Headquartered in metro Atlanta, Primerica is a Fortune 1000 company with over 2,800 employees located in the U.S. and Canada. Our employees are an integral part of achieving Primerica’s mission in creating more financially independent families and supporting over 151,000 licensed financial representatives across the U.S. and Canada. The Company’s competitive salaries, award-winning benefits packages, and employee recognition programs are just a few of the reasons the average employee tenure is 13 years.

Awards and Recognitions