Primerica
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. 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 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. The person will also be responsible for understanding the securities products offered by the firm—including mutual funds, variable annuities, 529 Plans and a wrap‑fee advisory product—and 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 is $90‑120k.
ESSENTIAL DUTIES AND RESPONSIBILITIES
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
Ability to manage multiple priorities and quickly and efficiently adapt to changes in procedures or policies
Ability to function independently 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
Microsoft Office products, e.g., Word, Excel, etc.
Excellent analytical, research, and writing skills
Excellent interpersonal relationship skills
Excellent verbal and written communication skills
Strong sense of ethics, accountability, and judgment
MINIMUM REQUIRED QUALIFICATIONS
Juris Doctorate
Bachelor’s Degree
FINRA SIE, Series 7, 24 and 65/66 securities licenses (or obtained within 150 days of hire)
PREFERRED QUALIFICATIONS
2‑5 years of experience in the financial services industry
Experience with securities regulators, such as FINRA, SEC and the securities divisions of each state
Strong working knowledge and understanding of U.S. securities laws and regulations
Relevant compliance experience, including policies and procedures development, compliance risk assessments, responding to regulatory inquiries, completing regulatory filings, etc.
Comprehensive understanding of mutual funds, annuities and/or advisory products
Experience with FINRA Gateway and/or WebCRD
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
Equal Opportunity Employment 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 of race, 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.
Diversity & Inclusion 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.
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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 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. The person will also be responsible for understanding the securities products offered by the firm—including mutual funds, variable annuities, 529 Plans and a wrap‑fee advisory product—and 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 is $90‑120k.
ESSENTIAL DUTIES AND RESPONSIBILITIES
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
Ability to manage multiple priorities and quickly and efficiently adapt to changes in procedures or policies
Ability to function independently 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
Microsoft Office products, e.g., Word, Excel, etc.
Excellent analytical, research, and writing skills
Excellent interpersonal relationship skills
Excellent verbal and written communication skills
Strong sense of ethics, accountability, and judgment
MINIMUM REQUIRED QUALIFICATIONS
Juris Doctorate
Bachelor’s Degree
FINRA SIE, Series 7, 24 and 65/66 securities licenses (or obtained within 150 days of hire)
PREFERRED QUALIFICATIONS
2‑5 years of experience in the financial services industry
Experience with securities regulators, such as FINRA, SEC and the securities divisions of each state
Strong working knowledge and understanding of U.S. securities laws and regulations
Relevant compliance experience, including policies and procedures development, compliance risk assessments, responding to regulatory inquiries, completing regulatory filings, etc.
Comprehensive understanding of mutual funds, annuities and/or advisory products
Experience with FINRA Gateway and/or WebCRD
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
Equal Opportunity Employment 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 of race, 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.
Diversity & Inclusion 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.
#J-18808-Ljbffr