Supervisor, Securities Operations

Primerica•Duluth, GA

14h•Hybrid

About The Position

The Operations Support Supervisor leads the Operational Assessment (OA) team responsible for executing risk-based internal control testing for ISP. The Supervisor ensures tests are completed accurately as scheduled and communicates test results to members of management, control owners, and/or vendors in a timely manner. The Supervisor also works with various levels of management and staff to proactively identify risks and control gaps, support the design and enhancement of mitigating controls, and implement effective control testing to promote regulatory compliance.

Requirements

5+ years of experience in broker-dealer operations, risk management, compliance testing, or audit
Familiarity with SEC and FINRA regulations for broker-dealers and investment advisors
Proven leadership or supervisory experience
Strong organizational skills, including the ability to manage multiple tasks and projects simultaneously with little supervision and meet strict deadlines
Ability to assess risk and evaluate control effectiveness
Ability to communicate effectively and professionally with all levels of associates and management
Ability to detect problems, identify root causes, and recommend practical solutions

Nice To Haves

Experience in financial services control testing
Series 6 and 26 licenses
Strong knowledge of securities operations processes (licensing, trade review, commissions, reconciliations, asset transfers, etc.)
Knowledge of BNY and Pershing, WebImage, SuRPAS, CRM, and other Primerica systems
Experience supporting compliance exams and internal audits

Responsibilities

Assist Risk Management VP and AVP in designing and implementing operational assessment policies and procedures to identify and mitigate risk in securities operations.
Regularly prepare and deliver concise testing status reports to Risk Management VP and AVP, to measure productivity.
Continuously evaluate and enhance testing procedures to improve effectiveness, efficiency, and coverage.
Delegate work to team members, maintaining workloads based on employee knowledge and skill level.
Review and verify accuracy of team members’ work output.
Train, coach, and/or mentor team members, regardless of tenure, to ensure the team operates efficiently and effectively.
Manage the remediation process from start to finish for all OA findings, regularly communicating the status to managers, leadership team and/or other key stakeholders.
Prepare quarterly test result reports for Senior Executives to provide insights on control effectiveness, systemic risks, and trends.