Securities Compliance Officer or Compliance Attorney

Join Our Team

In 2025, USA Today recognized Primerica as a Top Workplace USA for the fifth year in a row, and Newsweek named Primerica one of America’s Greatest Workplaces for Diversity for the second consecutive year. In 2024, the Atlanta Journal-Constitution named Primerica as a Top Workplace for the eleventh consecutive year, and Forbes recognized Primerica as one of America’s Best Employers for Women for the fifth year in a row. In addition, for the tenth time Primerica has been voted a Best Employer by Gwinnett Magazine. 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 Securities Compliance Department of two Broker-Dealers and a Registered Investment Adviser has an opening for a compliance professional or an 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, and conducting compliance testing to identify and manage regulatory risk. This person will be responsible for the Firm's Anti-Money Laundering (AML) Program, Customer Identification Program (CIP) and Elderly/Vulnerable Exploitation Program. This includes but is not limited to, conducting investigations into potential suspicious activity and completing required regulatory reporting timely such as filing Suspicious Activity Reports (SARs). This person will also be responsible for 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.

The estimated salary range for this role is: 90K 120K

Responsibilities & Qualifications

Essential Job Duties and 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
• Contact representatives and/or 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 and reviewing alerts in the Actimize system
• 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 prevent fraudulent activity and/or financial exploitation and place freezes on accounts when necessary
• Maintain and enhance AML policies and procedures, including the AML Program, CIP Program, and Identity Theft Prevention Program
• Help with identifying any AML loopholes and coordinating projects to bridge those gaps
• Interpret new and existing securities laws and regulations and use knowledge and experience to provide guidance to business units across the broker-dealers and registered investment adviser.
• Analyze existing policies, procedures, processes, and controls to determine gaps or areas for improvement. 
• Create training that may include in person training or written training such as bulletins and publications.
• Conduct compliance testing to ensure the broker-dealers and registered investment adviser are meeting regulatory requirements.
• Coordinate with business units to create and modify policies and procedures to achieve compliance with regulatory requirements.
• Work with the management of business units to provide guidance and create, update and/or enhance policies and procedures and business assessment, as necessary.

Required Qualifications:

• Bachelor’s Degree
• FINRA SIE, Series 7, 24 and 65/66 securities licenses (or obtained within 150 days of hire)
• Ability to manage multiple priorities and quickly and efficiently adapt to changes in procedures or policies
• Ability to function independently as well as well as cooperatively
• Ability to perform assigned tasks within the specified time frames and meet quality expectations
• Ability to conduct research and provide management with proposed solutions
• Thorough and detail-oriented with aptitude for identifying risk and capability to research complex problems and collaborate to create solutions
• Excellent Word, PDF, Excel, and PowerPoint skills
• Excellent analytical, research, and