Compliance Officer, Securities

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 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 understanding the securities products offered by the Firm, including mutual funds, variable annuities, 529 Plans and a wrap-fee advisory product. 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 salary range for this position is 90k-120k

Responsibilities & Qualifications

ESSENTIAL DUTIES AND RESPONSIBILITES :

• 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.
• Work directly with registered representatives and regulators such as FINRA, SEC and the Securities Divisions of each state on responses to regulatory inquiries.
• Serve as subject matter expert and represent the Compliance Department in business meetings and on committees.
• Analyze existing policies, procedures, processes, and controls to determine gaps or areas for improvement.
• Assist the Compliance Department with researching and analyzing relevant compliance-related information in an effort to identify potential issues, trends, risks and / or training opportunities.
• 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.
• Prepare and submit timely regulatory filings, such as Form BD amendments, NSCC notifications, and other required filings to applicable regulators.
• Work with business units to provide guidance and create, update, and / or enhance policies and procedures to achieve compliance with regulatory requirements.

REQUIRED SKILLS AND ABILITIES :

MINIMUM REQUIRED QUALIFICATIONS :

PREFERRED QUALIFICATIONS :

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 development

Tuition reimbursement

Company-sponsored social and philanthropy events

It has been and will continue to be the policy of Primerica, Inc., and its subsidiaries to be an Equal Opportunity Employer. We provide equal opportunity to all qualified individuals regardless ofrace, sex, color, religious creed, religion, national origin, citizenship status, age, disability, pregnancy, ancestry, military service or veteran status, genetic or carrier status, marital status, sexual orientation, or any classification protected by applicable federal, state or local laws.

At Primerica, we believe that diversity and inclusion are critical to our future and our mission – creating a foundation for a creative workplace that leads to innovation, growth, and profitability. Through a variety of programs and initiatives, we invest in each employee, seeking to ensure that our people are not only respected as individuals, but also truly valued for their unique perspectives.