Compliance Specialist (Surveillance Administrator)

- Duluth, GA

Full-time
Join Our Team
Our Company headquarters is located in Duluth, GA.

The 367,000-square-foot building houses 1,700 employees who provide first-class support to our sales force as they build their business and serve clients.

For six years in a row, Primerica has been recognized by the Atlanta Journal-Constitution as one of the best workplaces in Georgia! Over the past five years, Primerica has consistently been voted “Best Employer” by Gwinnett Magazine.

About this Position
The Surveillance Administrator is responsible for analyzing, interpreting and performing initial sign-off on surveillance reports regarding sales force activity.
Responsibilities & Qualifications
The role assess mutual fund, annuity, fixed indexed annuity and managed account transactions to determine whether an investigation into sales practice activities is necessary. Additionally, the Surveillance Administrator analyzes business practices and client solicitation for questionable trends to determine whether inappropriate transactions exist and works with field supervision, compliance and senior management to implement resolutions.

EXPECTATIONS:
Ability and willingness to learn new skills, concepts and products
Must have the ability to self-motivate and work in an independent and team environment
Must bring a positive attitude to work each day, and possess a proactive work ethic
KNOWLEDGE, SKILLS AND ABILITIES

Strong organizational skills, including the ability to manage multiple tasks and projects simultaneously and meet deadlines.
Ability to communicate effectively both verbally and in writing, and possess excellent interpersonal skills.
Knowledge 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 systems.
In depth understanding of Primerica systems, products and culture is a plus.
QUALIFICATIONS

Bachelor’s degree or equivalent experience in the investment industry
Series 6, 26 (or 7, 24) licenses required; can be obtained through a learning agreement
Intermediate knowledge of PC and Microsoft Office Word/Excel
Hours are Monday-Friday,: 8:00am - 5:00pm

Our Benefits:
Day one health, dental, and vision insurance

401k plan with 4% basic employer contribution and 100% employer match contribution up to 6%

Vacation, sick, holiday and volunteer time off

Life and disability insurance

Flexible Savings Account & Health Savings Account

Professional development

Tuition reimbursement

Company-sponsored social and philanthropy events