Trade Principal 1

## Trade Principal 1

Apply locations:
Duluth, GAtime type:
Full time posted on:
Posted Yesterday time left to apply:
End Date:
August 19, 2026 (5 days left to apply) job requisition :
R-339:082026##
** 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 ISP Trade Principal 1 specializes in the suitability review of all Lifetime products.

Reviews and analyzes trades to determine proper suitability based on the extensive knowledge of the specific products and PFS Investment’s compliance suitability and NIGO (not in good order) guidelines. Reviews all large trades manually to ensure compliance with PFSI anti-money laundering rules and compliance with SEC Books and Records rules. Ensures that appropriate case files are opened and documented for non-suitable trades for tracking the investigation of the issues.

Works closely with the appropriate New Business management in providing instructions for processing and reconciliation of all trades. Works closely with Compliance and Marketing in the development of new product rollouts. Meets with regulators and interprets suitability results for trades requested by FINRA and / or SEC during audits. Assist in the coordination of quality control as well as the Business-Assessment process.
Hybrid role or Remote

Location:

Duluth, GA   One day on site     Salary range between $61K - $63K Annually## ## Responsibilities & Qualifications■Suitability Review
- Review and analyze trades to determine proper suitability based on the extensive knowledge of the specific products and PFS Investment’s compliance suitability and NIGO (not in good order) guidelines.■Large Trade Review
- Review all large trades manually to ensure compliance with PFSI anti-money laundering rules and compliance with SEC Books and Records rules.■In Good Order reviews
- Provide further review of any trades that do not meet required suitability criteria by contacting and working closely with the writing representatives and Quality of Business department (QOB) to obtain the required corrections and clarification. ■Additional Suitability Documentation
- Ensure appropriate case files are opened and documented for non-suitable trades for tracking the investigation of the issues. ■Recon
- Work closely with the appropriate New Business management in providing instructions for processing and reconciliation of all trades and with Compliance and Marketing in the development of new product rollouts. ■On going training
- Maintain knowledge regarding changes in the products, including regulatory changes and areas of sensitivity of the regulators. Meet with regulators and interpret suitability results for trades requested by FINRA and / or SEC during audits. Work closely with Legal and Compliance on suitability issues identified. Assist in the coordination of quality control as well as the Business-Assessment process. Identify problems and implement solutions.

■Each team member is expected to be aware of risk within their functional area. This includes observing all policies, procedures, laws, regulations and risk limits specific to their role. Additionally, they should raise and report known or suspected violations to the appropriate Company authority in a timely fashion.■Performs other related duties as required.

Supervisory Responsibilities No supervisory responsibilities

Required

Minimum Qualifications ■ Education-High school diploma or equivalent in  or related field■ Experience-No experience required ■ Certifications or Licenses-FINRA SIE, Series 6 and 26 (or 7 and 24)…