Brokerage Surveillance Analyst

Join Our Team

In 2022, the Atlanta Journal-Constitution named Primerica one of the best places to work for the ninth consecutive year. Also in 2022, Primerica was named one of the Best Employers for Diversity by Forbes for the second consecutive year. Forbes also named Primerica as one of America's best Insurance companies for 2022. Primerica ranks 6th among 25 companies included in the Term Life Insurance category. Over the past seven years Primerica has consistently been voted Best Employer by Gwinnett Magazine in its special "Best of Gwinnett" winner editions. Primerica is a great place to work! Join our team to experience what it's like to work at "one of the best places to work in the metro Atlanta".

About this Position

The Brokerage Surveillance Analyst is responsible for researching surveillance and monitoring exception reports designed to identify sales practice issues, red flags, concerning business trends, or patterns of unusual activity. Cases are established for incidents that require more comprehensive research and may include in-depth product and best interest discussions with the representative, Branch Manager, OSJ Advisor, and the client. Certain cases may result in client settlements and training or disciplinary action for the representative(s).

This is hybrid position that offers flexibility for remote and onsite work. Candidate must be local and be available to work both onsite and remotely during the week.

The estimated salary range for this role : $55K- $60K

Responsibilities & Qualifications

Job Duties:

• Collect transactional and account information and summarize information in a digestible format using internal tracking systems. Must be proficient in knowledge of internal and external systems used for image storage, transactional data, etc. and able to apply this information to your research and understanding of activity within each account.

• Identify, comprehend and communicate potentially complex securities topics, including sales practices, general compliance, Firm policies and procedures, best practices.

• Applying reasonable judgment when working with advisors to provide solutions to problems while ensuring compliance with firm policies and regulatory rules. Educate, promote and reinforce the Firm's policies and procedures and best practices surrounding the investment business to support the sales force grow their business in a compliant manner.

• Contact with investment clients to ensure their satisfaction with the services provided by their representative.

• Diagnose potential violations of the Firm's policies and procedure and be knowledgeable of when this information needs to be referred to other departments or addressed internally.

• Utilize internal or third-party systems and contacts to research purchase and redemption activity within brokerage accounts. Must be proficient in knowledge of internal and external systems uses for image storage, transactional data, etc.).

• Analyzing and monitoring exception reports for potential violations of firm policies or regulatory rules, as well as potential sales practice issues. This requires being knowledgeable of complex securities topics, including sales practices, general compliance, Firm policies and procedures for all areas of securities and typical best practices.

• Ability to identify when activity within account(s) is inconsistent with the documented investment objective and must be able to clearly summarize activity on reports and make informed decisions on whether further action/research is required through case work.

• Clearly and concisely communicate complex account activity that have potential sales practice violations to senior management in a digestible format.

• Communicate decisions made by senior management in a constructive manner.

• Complete required paperwork and provide training on complex securities topics. Requires proficiency in all Microsoft applications.

KNOWLEDGE, SKILLS & ABILITIES

• Strong working knowledge of brokerage products and brokerage product suitability and ability to identify and recommend resolutions for compliance pitfalls, including suitability, selling away, outside business activities, anti-money laundering, elderly, diminished capacity and commission systems.

• Working knowledge of SEC, FINRA, MSRB rules and their applicability the Firm

• Excellent organizational skills with the ability to handle multiple high priority projects with attention to details.

• Detail-oriented with aptitude for identifying risk and capability to research complex problems and collaborate to create solutions.

• Strong decision-making, investigative, and analytical skills as well as problem-solving and critical-thinking skills.

• Highly proficient computer skills, including the use of MS Word, Excel, PowerPoint, data management programs, and CRMs

• Strong sense of ethics, accountability, and judgment.

• Excellent communication and presentation skills with the ability to communicate effectively across various departments and levels of the organization

• A lifelong learner who enjoys growing from experiences and bringing ideas to the table.

• A positive outlook with a strong desire to help others

QUALIFICATIONS

• Bachelor's degree or equivalent experience in the investment industry

• SIE, Series 6, 26 (or 7, 24) licenses required; can be obtained through a learning agreement

• Intermediate knowledge of PC and Microsoft Office Word/Excel

HOURS

• Monday-Friday: 8am - 5pm

#Dice

FLSA status:

This position is exempt (not eligible for overtime pay):

Yes

Our 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

It has been and will continue to be the policy of Primerica, Inc., and its subsidiaries to be an Equal Opportunity Employer. We provide equal opportunity to all qualified individuals regardless of race, sex, color, religious creed, religion, national origin, citizenship status, age, disability, pregnancy, ancestry, military service or veteran status, genetic or carrier status, marital status, sexual orientation, or any classification protected by applicable federal, state or local laws.

At Primerica, we believe that diversity and inclusion are critical to our future and our mission - creating a foundation for a creative workplace that leads to innovation, growth, and profitability. Through a variety of programs and initiatives, we invest in each employee, seeking to ensure that our people are not only respected as individuals, but also truly valued for their unique perspectives.