Compliance Analyst

PFS Primerica Financial Services, LLC - Duluth, GA

Full-time - Entry Level

Hybrid - Duluth, GA

1,001-5,000 employees

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 hybrid position requires working two days onsite in Duluth, Georgia, and three days remotely each week.

Responsibilities

• Review, research, interpret, and analyze risks associated with requests from registered representatives to participate in outside business activities.
• Apply reasonable judgment to understand the nature of the activity and the representative's role, identifying potential conflicts.
• Communicate clearly and constructively with the sales force during the review process and regarding resolutions.
• Present overviews of activities and risks to Senior Management as needed or when decisions are appealed.
• 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 effectively complete multiple tasks and prioritize assignments.
• Ability to function independently and cooperatively.
• Advanced research, internet search, and analytical skills.
• Intermediate knowledge of PC and Microsoft Office (Word, Excel, PowerPoint).
• Knowledge of the securities industry is desired.
• Knowledge of Primerica's internal systems is desired.

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