Primerica Jobs – Director Securities Compliance

Website Primerica

Job Description:

The Securities Compliance Department is looking for an experienced compliance professional to lead and manage a growing team of Compliance Officers, Attorneys and/or Analysts. This role is responsible for helping maintain a comprehensive compliance program for a Broker-Dealer and Registered Investment Adviser.

Job Responsibilities:

  • Partner with other departments to manage the retention of books and records pursuant to regulatory requirements
  • Manage regulatory examinations and respond to regulatory requests from securities regulators such as FINRA, the SEC and state securities divisions
  • Serve as a compliance subject matter expert and provide guidance to all business units, senior management, and the sales force
  • Maintain the firm’s written supervisory procedures (WSPs) and compliance risk assessments
  • Monitor regulatory updates and implement such changes, when applicable, into the WSP and internal control procedures
  • Design and conduct training for home office employees and the sales force, including the training script for the Annual Compliance Meeting
  • Conduct Compliance monitoring and testing and complete annual supervisory reviews

Job Requirements:

  • Excellent Word, PDF, Excel, and PowerPoint skills
  • Strong leadership skills and demonstrable experience and success in working in high-performance teams
  • Bachelor’s Degree
  • Securities licenses (e.g., Series 7, 24 and 66), or obtained within 150 days of hire
  • 6-10 years of experience in the financial services industry, with at least 2 years of experience managing people and projects
  • Strong project management skills
  • Self-starter and excellent analytical skills
  • High degree of attention to detail and thoroughness are essential for this role
  • Excellent analytical, research, and writing skills
  • Relevant compliance experience, including policies and procedures development, compliance risk assessments, responding to regulatory inquiries, etc.
  • Strong working knowledge and understanding of US securities laws and regulations
  • Ability to create clear, convincing, well-organized presentations and communications
  • Ability to manage multiple priorities in a fast-paced, everchanging environment

Job Details:

Company: Primerica

Vacancy Type: Full Time

Job Location: Duluth, GA, US

Application Deadline: N/A

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