Legal Counsel

Primerica•Duluth, GA

2d•Hybrid

About The Position

Primerica seeks an attorney to handle securities complaints, respond to inquiries from the SEC, FINRA, state securities regulators, and others concerning securities issues, and work on special projects. This is a hybrid role with two days in the office in Duluth, Georgia. The position investigates and resolves consumer complaints involving securities products—including mutual funds, variable annuities, managed accounts, and 529 plans—and other services provided by the Primerica Companies’ sales force. It prepares regulatory responses, assists representatives with required statements, and negotiates and implements consumer settlements. Settlement work includes preparing documents for management approval, facilitating client payments, adjusting client accounts, and communicating representative discipline when necessary. The role also identifies and completes required regulatory reports, including Form U-4 and U-5 amendments, 30-day and quarterly 4530 Reports, and Suspicious Activity Reports. The position is exempt from overtime pay.

Requirements

Law degree and admission to the bar of any state.
Obtain Series 6 and Series 26 securities licenses within 90 days of hire.
Good negotiating skills.
Excellent oral and written communication skills and electronic research skills.
Strong mathematical, analytical, and organizational skills.
Detail-oriented, self-motivated, and a team player.
Computer proficiency in Word, Excel, Westlaw, and use of the Internet.

Nice To Haves

Basic knowledge of Primerica’s sales force, corporate structure, internal guidelines, and PFSI business policies, as well as federal and state tax laws, is preferred.

Responsibilities

Investigate and resolve consumer complaints related to securities products and other services provided by the Primerica Companies’ sales force.
Prepare responses to regulatory inquiries and assist representatives in preparing required statements.
Negotiate and implement settlements with consumers, including preparing documents for management approval, facilitating client payments, adjusting client accounts, and communicating representative discipline as necessary.
Identify and complete required regulatory reports, including Form U-4 and U-5 amendments, 30-day and quarterly 4530 Reports, and Suspicious Activity Reports.
Handle special projects related to securities issues.