Trade Principal 1

Primerica; Duluth, Northern (GA, KY); On-site; USD 61,000 - 63,000; Full time

Job summary

Primerica is seeking a Trade Principal 1 in Duluth, GA for a hybrid role with on-site requirements one day a week. The position focuses on suitability review of Lifetime products, ensuring compliance with AML and SEC/MR rules, and coordinating with Compliance, Marketing and New Business teams during audits.

Responsibilities include reviewing large trades, documenting non-suitable cases, and supporting quality control and business-assessment processes.

Qualifications

• FINRA SIE certification preferred.
• Series 6/26 or 7/24 licenses preferred.
• No experience required.

Responsibilities

• Suitability Review: Review trades for proper suitability per product knowledge and guidelines.
• Large Trade Review: Manually review large trades for AML and SEC Books/Records compliance.
• In Good Order reviews: Verify trades meet criteria; coordinate with writers and QOB for corrections.
• Recon: Coordinate processing and reconciliation of trades with New Business, Compliance and Marketing.
• On going training: Stay updated on product/regulatory changes and risk areas.

Skills

FINRA SIE

Series 6/26 or 7/24

Education

High school diploma or equivalent

Job description

## Trade Principal 1Applylocations: Duluth, GAtime type: Full timeposted on: Posted Yesterdaytime left to apply: End Date: August 19, 2026 (5 days left to apply)job requisition id: R-339:082026## **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 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 ResponsibilitiesNo supervisory responsibilitiesRequired 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) preferredPhysical 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