Hybrid Legal Counsel – Securities Compliance & Settlements

Primerica; Duluth (GA); Hybrid; USD 120,000 - 180,000; Full time

Benefits offered by this job

Day one health, dental, and vision

401(k) Plan with match

Vacation, sick, holiday

Life and disability insurance

FSA/HSA

Professional development

Tuition reimbursement

Company-sponsored events

Job summary

Primerica in Duluth, GA seeks an Attorney to handle securities complaints, respond to SEC, FINRA, state inquiries, and work on special projects in a hybrid role. You will investigate consumer complaints about mutual funds and other products, prepare responses, and assist with settlements; you will file required regulatory reports and support the sales force.

The position requires a law degree, bar admission, and securities licenses (Series 6 and 26) to be obtained within 90 days, with strong

Qualifications

• Investigate and resolve consumer complaints related to securities products.
• Prepare responses to regulatory inquiries and assist with settlements.
• Identify and complete required regulatory reports (Form U-4/U-5, 30-day and quarterly 4530 Reports, SAR).
• Strong negotiation, communication, and analytical abilities; detail oriented and team oriented.

Responsibilities

• Investigate and resolve consumer complaints related to securities products, including mutual funds and 529 plans.
• Prepare responses to regulatory inquiries and assist in settlements with customers.
• Identify and file regulatory reports (Form U-4/U-5, 30-day and 4530 Reports, SAR).
• Ensure compliance with internal guidelines and federal/state securities laws.

Skills

Negotiation

Communication

Analytical

Electronic research

MS Word / MS Excel

Westlaw

Series 6/26 licenses

Education

Law Degree & Bar Admission

Tools

Westlaw

MS Office

Job description

Primerica in Duluth, GA seeks an Attorney to handle securities complaints, respond to SEC, FINRA, state inquiries, and work on special projects in a hybrid role. You will investigate consumer complaints about mutual funds and other products, prepare responses, and assist with settlements; you will file required regulatory reports and support the sales force.

The position requires a law degree, bar admission, and securities licenses (Series 6 and 26) to be obtained within 90 days, with strong