Lifetime Trade Principal

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 Lifetime Trade Principal specializes in the suitability review of all program applications. This role reviews and analyzes each trade to determine proper suitability based on the extensive knowledge of all Securities products, Primerica Investment’s compliance suitability, Primerica Advisors’ Anti Money Laundering rules, compliance with SEC Books & Records rules, and NIGO (not in good order) guidelines.


Hybrid Role, one day a week in our Duluth, GA Office

Salary: up to $55k

Responsibilities & Qualifications

Duties:

• Provide further review of any trades that do not meet required suitability criteria by contacting and working closely with the writing representative to obtain the required documents and further clarification that is required to support the suitability of the trade.

• Travels and performs on site audits to ensure all trades are processed in accordance with all required regulations, all Primerica compliance requirements, and standards per contract. 

• Works closely with Compliance, Marketing, and Third-Party vendors in the development of new product roll out.

• Keeps current regarding changes in Securities related products including regulatory changes and areas of sensitivity of the regulators. 

• Maintains knowledge and understanding of the individual products and company policies regarding mutual fund and municipal securities.

• Meets with regulators and interprets suitability results for trades requested by FINRA and/or SEC during audits and works closely with the Office of the General Council Surveillance Group on suitability issues identified.

Knowledge, Skills, and Abilities:

• Bachelor’s Degree or equivalent work experience in Securities or Investments

• Series 6 and 26 required or pass the SIE exam and obtain the Series 6 and 26 through a learning agreement

• Excellent proof-reading ability

• Familiarity of database, mainframe and BNY Mellon systems

• Ability to recognize legal and regulatory issues affecting the liability of the Company

• Excellent verbal and written communication skills

• Willingness to travel and work on weekends

• Strong organizational skills, including the ability to manage multiple tasks and projects simultaneously and meet strict deadlines

• Willingness to learn new skills related to the successful achievement of departmental goals

• Ability to self-motivate and work in an interdependent team environment

• Ability to work overtime as needed

#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 developmen