Compliance Analyst

Primerica • Duluth, GA

21h • $55,000 - $65,000 • Hybrid

About The Position

The Compliance Analyst reviews, interprets, and analyzes registered representative requests to participate in outside business activities. The Analyst considers whether the outside activity will interfere with or otherwise compromise the representative’s responsibilities to the company or our customers, evaluates if specific conditions or limitations should be imposed regarding the activity, and where circumstances warrant, prohibit the activity. The Analyst is responsible for working the outside business activity review from inception to closure and executing case decisions timely. This is a hybrid position, that requires working 2 days onsite (Tuesday and Wednesday) at our Duluth, Georgia office and 3 days remotely each week. Salary range between $55K - $65K Annually

Requirements

• Bachelor’s degree or related major or equivalent work experience
• Series 6 and 26 or 7 and 24 licenses required; can be obtained through a learning agreement
• Attention to detail
• Excellent written and oral communication
• Proven ability to effectively and efficiently complete multiple tasks and prioritizes assignments as needed
• Ability to function independently as well as co-operatively
• Advanced research, internet search, and analytical skills
• Intermediate knowledge of PC and Microsoft Office Word/Excel/PowerPoint

Nice To Haves

• Knowledge of securities industry desired
• Knowledge of Primerica’s internal systems desired

Responsibilities

• Review, research, interpret, and analyze risks associated with requests received from registered representative to participate in outside business activities.
• Apply reasonable judgment when working with the sales force to fully understand the nature of the activity, the representative’s role, and the presence of potential conflicts to the public
• Communicate clearly, concisely, and in a constructive manner both in writing and verbally with members of the sales force during the review process and regarding resolution.
• Present overview of activity and risks to Senior Management as appropriate or when decision is appealed by Senior Field Leadership.
• Identify and escalate potential issues or risks when needed
• Protect the company’s authority to do business by complying with legal and ethical standards, policies and procedures

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

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level