Compliance Analyst
$60,000 - $60,000/Yr
Primerica - Duluth, GA
posted 2 months ago
Full-time - Mid Level
Hybrid - Duluth, GA
Insurance Carriers and Related Activities
About the position
The Compliance Analyst at Primerica is responsible for reviewing, interpreting, and analyzing requests from registered representatives to engage in outside business activities. This role ensures that such activities do not interfere with the representatives' responsibilities to the company or its customers. The Analyst evaluates potential risks, communicates findings, and makes decisions regarding the approval or prohibition of these activities. This position operates in a hybrid work environment, requiring two days onsite and three days remote each week.
Responsibilities
- Review, research, interpret, and analyze risks associated with requests from registered representatives for outside business activities.
- Apply reasonable judgment to understand the nature of the activity and potential conflicts.
- Communicate clearly and constructively with the sales force during the review process.
- Present activity overviews and risks to Senior Management as needed.
- Identify and escalate potential issues or risks when necessary.
- Ensure compliance with legal and ethical standards, policies, and procedures.
Requirements
- 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 skills.
- Proven ability to manage multiple tasks and prioritize assignments effectively.
- Ability to work independently and cooperatively.
- Advanced research and analytical skills.
- Intermediate knowledge of Microsoft Office (Word, Excel, PowerPoint).
- Knowledge of the securities industry is desired.
- Familiarity with Primerica's internal systems is desired.
Benefits
- Health savings account
- Disability insurance
- Health insurance
- Dental insurance
- Flexible spending account
- Tuition reimbursement
- Vision insurance
- 401(k) matching
- Volunteer time off
