Brokerage Surveillance Analyst

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”.

The Brokerage Surveillance Analyst is responsible for researching surveillance and monitoring exception reports designed to identify sales practice issues, red flags, concerning business trends, or patterns of unusual activity. Cases are established for incidents that require more comprehensive research and may include in-depth product and best interest discussions with the representative, Branch Manager, OSJ Advisor, and the client. Certain cases may result in client settlements and training or disciplinary action for the representative(s).

This is hybrid position that offers flexibility for remote and onsite work. Candidate must be local and be available to work both onsite and remotely during the week.

The salary range for this role is $55k-$60k.

Job Duties:

• Collect transactional and account information and summarize information in a digestible format using internal tracking systems. Must be proficient in knowledge of internal and external systems used for image storage, transactional data, etc. and able to apply this information to your research and understanding of activity within each account.

• Identify, comprehend and communicate potentially complex securities topics, including sales practices, general compliance, Firm policies and procedures, best practices.

• Applying reasonable judgment when working with advisors to provide solutions to problems while ensuring compliance with firm policies and regulatory rules. Educate, promote and reinforce the Firm’s policies and procedures and best practices surrounding the investment business to support the sales force grow their business in a compliant manner.

• Contact with investment clients to ensure their satisfaction with the services provided by their representative.

• Diagnose potential violations of the Firm’s policies and procedure and be knowledgeable of when this information needs to be referred to other departments or addressed internally.

• Utilize internal or third-party systems and contacts to research purchase and redemption activity within brokerage accounts. Must be proficient in knowledge of internal and external systems uses for image storage, transactional data, etc.).

• Analyzing and monitoring exception reports for potential violations of firm policies or regulatory rules, as well as potential sales practice issues. This requires being knowledgeable of complex securities topics, including sales practices, general compliance, Firm policies and procedures for all areas of securities and typical best practices.

• Ability to identify when activity within account(s) is inconsistent with the documented investment objective and must be able to clearly summarize activity on reports and make informed decisions on whether further action/research is required through case work.

• Clearly and concisely communicate complex account activity that have potential sales practice violations to senior management in a digestible format.

• Communicate decisions made by senior management in a constructive manner.

• Complete required paperwork and provide training on complex securities topics. Requires proficiency in all Microsoft applications.

KNOWLEDGE, SKILLS & ABILITIES

• Strong working knowledge of brokerage products and brokerage product suitability and ability to identify and recommend resolutions for compliance pitfalls, including suitability, selling away, outside business activities, anti-money laundering, elderly, diminished capacity and commission…