Securities Compliance Attorney/officer

Profile

Securities Compliance Attorney/Officer

The candidate will interpret new and existing securities laws and regulations and provide guidance to various business units and assist them in updating policies and procedures. Analyze existing policies, procedures, processes, and controls to determine gaps or areas for improvement. Lead or assist in leading initiatives or projects to mitigate the risk. Respond to regulatory inquiries, manage regulatory exams, and communicate with regulators such as FINRA, SEC and the Securities Divisions of each state. Provide training to registered representatives on topics including but not limited to Form U4 requirements, registration, suitability and best interest. Create training that may include in-person training or written training such as bulletins and publications. Serve as a compliance subject matter expert and provide guidance to all business units, senior management, and the sales force. Conduct compliance testing to ensure policies and procedures are being followed and are sufficient to meet regulatory requirements. Independently conduct research and provide management with proposed solutions.

Additional Information

Requisition id: R-652:102022.

Company info

Primerica, Inc
3120 Breckinridge Blvd. NW
Duluth
Georgia
United States 30099
Phone : 770-381-1000
Fax : 770-564-6110
Website : http://www.primerica.com