Compliance Analyst, Business

About this Position

The Compliance Analyst reviews, interprets, and analyzes registered representative requests to participate in outside business activities. The Analyst considers whether the outside activity will interfere with or otherwise compromise the representative's responsibilities to the company or our customers, evaluates if specific conditions or limitations should be imposed regarding the activity, and where circumstances warrant, prohibits the activity. The Analyst is responsible for working the outside business activity review from inception to closure and executing case decisions timely.

$55,000 – $65,000 annually.

• Review, research, interpret, and analyze risks associated with requests received from registered representatives to participate in outside business activities.
• Apply reasonable judgment when working with the sales force to fully understand the nature of the activity, the representative's role, and the presence of potential conflicts to the public.
• Communicate clearly, concisely, and constructively both in writing and verbally with members of the sales force during the review process and regarding resolution.
• Present overview of activity and risks to Senior Management as appropriate or when decision is appealed by Senior Field Leadership.
• Identify and, when needed, elevate potential issues or risks.
• Protect the company's authority to do business by complying with legal and ethical standards, policies, and procedures.

• 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.
• Proven ability to effectively and efficiently complete multiple tasks and prioritize assignments as needed.
• Ability to function independently as well as cooperatively.
• Advanced research, internet search, and analytical skills.
• Intermediate knowledge of PC and Microsoft Office Word, Excel, PowerPoint.
• Knowledge of securities industry desired.
• Knowledge of Primerica's internal systems desired.

This is a hybrid position requiring 2 days onsite (Tuesday and Wednesday) at our Duluth, Georgia office and 3 days remotely each week.

Exempt (not eligible for overtime pay).

• 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 and 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 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.