Hybrid Securities Compliance Officer

Primerica; Duluth (GA); Hybrid; USD 90,000 - 120,000; Full time

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

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,