Compliance 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 Compliance Analyst reviews, interprets, and analyzes registered representative requests to participate in outside business activities. The Analyst considers whether the outside activity will interfere with or otherwise compromise the representative's responsibilities to the company or our customers, evaluates if specific conditions or limitations should be imposed regarding the activity, and where circumstances warrant, prohibit the activity. The Analyst is responsible for working the outside business activity review from inception to closure and executing case decisions timely. This is a hybrid position, that requires working 2 days onsite at our Duluth, Georgia office and 3 days remotely each week.

Responsibilities & Qualifications

Job Duties & Responsibilities

• Review, research, interpret, and analyze risks associated with requests received from registered representative to participate in outside business activities.

• Apply reasonable judgment when working with the sales force to fully understand the nature of the activity, the representative's role, and the presence of potential conflicts to the public

• Communicate clearly, concisely, and in a constructive manner both in writing and verbally with members of the sales force during the review process and regarding resolution.

• Present overview of activity and risks to Senior Management as appropriate or when decision is appealed by Senior Field Leadership.

• Identify and escalate potential issues or risks when needed

• Protect the company's authority to do business by complying with legal and ethical standards, policies and procedures

Required Qualifications

• Bachelor's degree or related major or equivalent work experience

• Series 6 and 26 or 7 and 24 licenses required; can be obtained through a learning agreement

• Attention to detail

• Excellent written and oral communication

• Proven ability to effectively and efficiently complete multiple tasks and prioritizes assignments as needed

• Ability to function independently as well as co-operatively

• Advanced research, internet search, and analytical skills

• Intermediate knowledge of PC and Microsoft Office Word/Excel/PowerPoint

• Knowledge of securities industry desired

• Knowledge of Primerica's internal systems desired

• Paralegal certification is a plus

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.