Legal Counsel

Primerica•Duluth, GA

3d•Hybrid

About The Position

Primerica seeks an attorney to handle securities complaints, respond to inquiries from the SEC, FINRA, state securities regulators and other parties concerning securities issues, and work on special projects. This is a hybrid role requiring two days in the office in Duluth, Georgia. The attorney 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. The role prepares responses to regulatory inquiries and assists representatives with required statements. It also involves negotiating and implementing consumer settlements, preparing documents for management approval, facilitating client payments, adjusting client accounts and communicating representative discipline when necessary. The attorney 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 and not eligible for 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 business policies of PFSI, as well as federal and state tax laws.

Responsibilities

Investigate and resolve consumer complaints related to securities products, including mutual funds, variable annuities, managed accounts and 529 plans, 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 consumer settlements, including preparing settlement 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.