Trade Principal 1

Primerica; Duluth (GA); Hybrid; USD 61,000 - 63,000; Full time

Benefits offered by this job

Health insurance

401k match

PTO

Life & disability

Job summary

Primerica is seeking an ISP Trade Principal 1 in Duluth, GA, offering a hybrid on-site role with one day on site. The position focuses on suitability reviews for Lifetime products and ensuring compliance with AML and SEC books and records rules.

You will coordinate with New Business, Compliance, and Marketing for product rollouts and maintain knowledge of regulatory changes. A high school diploma and FINRA SIE, Series 6/26 or 7/24 preferred are expected.

Qualifications

• Education: High school diploma or equivalent in or related field
• Experience: No experience required
• Certifications or Licenses: FINRA SIE, Series 6 and 26 (or 7 and 24) preferred

Responsibilities

• Suitability Review - Review and analyze trades to determine proper suitability based on product knowledge and compliance guidelines.
• Large Trade Review - Review all large trades to ensure AML rules and SEC Books and Records compliance.
• In Good Order reviews - Review trades not meeting suitability criteria with writing reps and QOB to obtain Corrections.
• Additional Suitability Documentation - Open and document case files for non-suitable trades for tracking investigations.
• Recon - Coordinate processing and reconciliation of trades with New Business, Compliance and Marketing for rollouts.
• Ongoing training - Stay updated on product and regulatory changes; interact with regulators during audits.
• Identify problems and implement solutions.
• Observe policies and raise known violations to company authority.

Education

High school diploma or equivalent

Tools

FINRA SIE, Series 6 and 26 (or 7 and 24)

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 ISP Trade Principal 1 specializes in the suitability review of all Lifetime products. Reviews and analyzes trades to determine proper suitability based on the extensive knowledge of the specific products and PFS Investment’s compliance suitability and NIGO (not in good order) guidelines. Reviews all large trades manually to ensure compliance with PFSI anti-money laundering rules and compliance with SEC Books and Records rules. Ensures that appropriate case files are opened and documented for non-suitable trades for tracking the investigation of the issues. Works closely with the appropriate New Business management in providing instructions for processing and reconciliation of all trades. Works closely with Compliance and Marketing in the development of new product rollouts. Meets with regulators and interprets suitability results for trades requested by FINRA and / or SEC during audits. Assist in the coordination of quality control as well as the Business-Assessment process.

Hybrid role or Remote

Location: Duluth, GA
One day on site

Salary range between $61K - $63K Annually

Responsibilities & Qualifications

Suitability Review - Review and analyze trades to determine proper suitability based on the extensive knowledge of the specific products and PFS Investment’s compliance suitability and NIGO (not in good order) guidelines.

Large Trade Review - Review all large trades manually to ensure compliance with PFSI anti-money laundering rules and compliance with SEC Books and Records rules.

In Good Order reviews - Provide further review of any trades that do not meet required suitability criteria by contacting and working closely with the writing representatives and Quality of Business department (QOB) to obtain the required corrections and clarification.

Additional Suitability Documentation - Ensure appropriate case files are opened and documented for non-suitable trades for tracking the investigation of the issues.

Recon - Work closely with the appropriate New Business management in providing instructions for processing and reconciliation of all trades and with Compliance and Marketing in the development of new product rollouts.

On going training - Maintain knowledge regarding changes in the products, including regulatory changes and areas of sensitivity of the regulators. Meet with regulators and interpret suitability results for trades requested by FINRA and / or SEC during audits. Work closely with Legal and Compliance on suitability issues identified. Assist in the coordination of quality control as well as the Business-Assessment process. Identify problems and implement solutions.

Each team member is expected to be aware of risk within their functional area. This includes observing all policies, procedures, laws, regulations and risk limits specific to their role. Additionally, they should raise and report known or suspected violations to the appropriate Company authority in a timely fashion.

Performs other related duties as required.

Supervisory Responsibilities

No supervisory responsibilities

Required Minimum Qualifications

Education-High school diploma or equivalent in or related field

Experience-No experience required

Certifications or Licenses-FINRA SIE, Series 6 and 26 (or 7 and 24) preferred

Physical Requirements and Work Environment. The physical requirements and work environment characteristics described here are representative of those that must be met by an employee to successfully perform the essential functions of this job. Reasonable accommodations may be made to qualified individuals with known disabilities, unless doing so would result in an undue hardship to the business or create a direct threat to workplace safety, in order to perform the essential functions of their jobs.

Regular office environment. May sit for long periods of time. Talk and hear regularly. Use of hands for keyboard, reaching and/or grasping. Required to work overtime on a regular basis. Weight/Lift Requirement - No lifting required. Lift/Carry Frequency - No lifting required. Travel not required. Driver’s license not required.

Hybrid role
Location: Duluth, GA
One day on site

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

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 ofrace, 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.