Securities Compliance Officer - AML & Elderly/Vulnerable Specialist

Primerica•Duluth, GA

10d•Hybrid

About The Position

The Securities Compliance Department of a Broker-Dealer and Registered Investment Adviser has an opening for a compliance professional or attorney to join a team of Compliance Attorneys, Compliance Officers and Compliance Analysts. This role is responsible for reviewing securities laws and regulations, developing policies and procedures sufficient to comply with regulatory requirements, conducting compliance testing to identify and manage regulatory risk, and responding to regulatory inquiries and examinations. This person will also be responsible for understanding the securities products offered by the Firm, and providing guidance and training to the business and registered representatives. This is a hybrid position that involves working 3 days onsite in the Duluth, Georgia office and 2 days remotely.

Requirements

Bachelor’s Degree
2+ years of professional experience, preferably in the investment industry
Securities licenses (e.g., SIE Exam, Series 7, 24 and 66), or obtained within 150 days of hire
High degree of attention to detail and thoroughness are essential for this role
Self-starter and excellent analytical skills
Ability to manage multiple priorities in a fast-paced, everchanging environment
Ability to create clear, convincing, well-organized presentations and communications
Detail-oriented with aptitude for identifying risk and capability to research complex problems and collaborate to create solutions
Ability to conduct research and provide management with proposed solutions
Strong investigative and analytical skills as well as problem-solving and critical-thinking skills
Strong sense of ethics, accountability, and judgment
Great listening and communication skills with an ability to nurture positive relationships
Excellent Word, PDF, Excel, and PowerPoint skills
Excellent analytical, research, and writing skills
Excellent interpersonal relationship skills
Excellent verbal and written communication skills and presentation skills
Excellent organizational skills with the ability to handle multiple projects with attention to detail

Nice To Haves

MBA, Juris Doctorate or other advanced degree
2-5 years of experience in the financial services industry
Strong working knowledge and understanding of US securities laws and regulations, including Bank Secrecy Act (BSA), OFAC and FinCEN regulations
Anti-Money Laundering (AML) experience, experience with AML surveillance systems (i.e., Actimize) is a plus
CAMS certification
Experience at or interfacing with securities regulators, such as FINRA, SEC and the Securities Divisions of each state
Comprehensive understanding of mutual funds, annuities and/or advisory products
Strong project management skills
Experience with FINRA Gateway and/or WebCRD

Responsibilities

Conduct investigations into potential unusual activity and potential elderly/vulnerable exploitation and determine if there is required regulatory reporting
File required Suspicious Activity Reports (SARs) with FinCEN and conduct required follow up investigations
Run and research weekly AML reports, such as OFAC and 314(a) and ensure required reporting is made timely
Review on all new entity account applications for potential AML concerns
Conduct research on clients and entities investing large dollar amounts to verify source of funds and deter money laundering
Contact representatives and clients to investigate and detect potential unusual activity and/or elderly/vulnerable exploitation
Aid in the improvement of tools to monitor, analyze, and report suspicious activity such as conducting high risk jurisdiction reviews
Conduct an annual AML risk assessment
Assist in regulatory examinations and inquiries related to AML
Coordinate with an outside consulting firm to conduct the annual independent review of the Firm’s AML Program
Provide AML and Senior and Elderly exploitation guidance and training to the business and the salesforce
Work with the transfer agent and outside fund companies to place freezes on accounts when necessary
Maintain and enhance AML policies and procedures, including the AML Program and CIP Program
Maintain the AML Identity Theft Prevention Program
Help with identifying any AML loopholes and coordinating projects to bridge those gaps