Supervisor, Securities Operations

Supervisor, Securities Operations Skip to main content#Supervisor, Securities Operations page is loaded## Supervisor, Securities Operations Apply locations:
Duluth, GAtime type:
Full time posted on:
Posted 2 Days Agojob requisition :
R-190:042026##
** 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 Operations Support Supervisor leads the Operational Assessment (OA) team responsible for executing risk-based internal control testing for ISP.
Salary range is between $65K - $70K Annually     Hybrid position

Location:

Duluth, GA## ## Responsibilities & Qualifications
** Operations Support Supervisor
** The Operations Support Supervisor leads the Operational Assessment (OA) team responsible for executing risk-based internal control testing for ISP.  The Supervisor ensures tests are completed accurately as scheduled and communicates test results to members of management, control owners, and/or vendors in a timely manner.  The Supervisor also works with various levels of management and staff to proactively identify risks and control gaps, support the design and enhancement of mitigating controls, and implement effective control testing to promote regulatory compliance.

Job responsibilities include, but are not limited to, the following:
* Assist Risk Management VP and AVP in designing and implementing operational assessment policies and procedures to identify and mitigate risk in securities operations.
* Regularly prepare and deliver concise testing status reports to Risk Management VP and AVP, to measure productivity.
* Continuously evaluate and enhance testing procedures to improve effectiveness, efficiency, and coverage.
* Delegate work to team members, maintaining workloads based on employee knowledge and skill level.
* Review and verify accuracy of team members’ work output.
* Train, coach, and/or mentor team members, regardless of tenure, to ensure the team operates efficiently and effectively.
* Manage the remediation process from start to finish for all OA findings, regularly communicating the status to managers, leadership team and/or other key stakeholders.
* Prepare quarterly test result reports for Senior Executives to provide insights on control effectiveness, systemic risks, and trends.
** Knowledge,

Skills and Abilities

*
* Required:

* 5+ years of experience in broker-dealer operations, risk management, compliance testing, or audit
* Familiarity with SEC and FINRA regulations for broker-dealers and investment advisors
* Proven leadership or supervisory experience
* Strong organizational skills, including the ability to manage multiple tasks and projects simultaneously with little supervision and meet strict deadlines
* Ability to assess risk and evaluate control effectiveness
* Ability to communicate effectively and professionally with all levels of associates and management
* Ability to detect problems, identify root causes, and recommend practical solutions

Preferred:
* Experience in financial services control testing
* Series 6 and 26 licenses
* Strong knowledge of securities operations processes (licensing, trade review, commissions, reconciliations, asset transfers, etc.)
* Knowledge of BNY and Pershing, Web Image, SuRPAS, CRM, and other Primerica systems
* Experience supporting compliance exams and internal audits
** 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…