Securities Compliance Officer - AML & Elderly/Vulnerable Specialist

Join Our TeamIn 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 PositionThe Securities Compliance Department of a Broker-Dealer and Registered Investment Adviser has an opening for a compliance professional or attorney to join a team of Compliance Attorneys, Compliance Officers and Compliance Analysts. This role is responsible for reviewing securities laws and regulations, developing policies and procedures sufficient to comply with regulatory requirements, conducting compliance testing to identify and manage regulatory risk, and responding to regulatory inquiries and examinations.

This person will also be responsible for understanding the securities products offered by the Firm, and providing guidance and training to the business and registered representatives. This is a hybrid position that involves working 3 days onsite in the Duluth, Georgia office and 2 days remotely. The estimated salary range for this role is $90k - $95k Annual.Responsibilities & QualificationsEssential Duties & Responsibilities:Conduct investigations into potential unusual activity and potential elderly/vulnerable exploitation and determine if there is required regulatory reportingFile required Suspicious Activity Reports (SARs) with FinCEN and conduct required follow up investigationsRun and research weekly AML reports, such as OFAC and 314(a) and ensure required reporting is made timelyReview on all new entity account applications for potential AML concernsConduct research on clients and entities investing large dollar amounts to verify source of funds and deter money launderingContact representatives and clients to investigate and detect potential unusual activity and/or elderly/vulnerable exploitationAid in the improvement of tools to monitor, analyze, and report suspicious activity such as conducting high risk jurisdiction reviewsConduct an annual AML risk assessmentAssist in regulatory examinations and inquiries related to AMLCoordinate with an outside consulting firm to conduct the annual independent review of the Firm's AML ProgramProvide AML and Senior and Elderly exploitation guidance and training to the business and the salesforceWork with the transfer agent and outside fund companies to place freezes on accounts when necessaryMaintain and enhance AML policies and procedures, including the AML Program and CIP ProgramMaintain the AML Identity Theft Prevention ProgramHelp with identifying any AML loopholes and coordinating projects to bridge those gapsRequired Qualifications:Bachelor's Degree2+ years of professional experience, preferably in the investment industrySecurities licenses (e.g., SIE Exam, Series 7, 24 and 66), or obtained within 150 days of hireHigh degree of attention to detail and thoroughness are essential for this roleSelf-starter and excellent analytical skillsAbility to manage multiple priorities in a fast-paced, everchanging environmentAbility to create clear, convincing, well-organized presentations and communicationsDetail-oriented with aptitude for identifying risk and capability to research complex problems and collaborate to create solutionsAbility to conduct research and provide management with proposed solutionsStrong investigative and analytical skills as well as problem-solving and critical-thinking skillsStrong sense of ethics, accountability, and judgmentGreat listening and communication skills with an ability to nurture positive relationshipsExcellent Word, PDF, Excel, and PowerPoint skillsExcellent analytical, research, and writing skillsExcellent interpersonal relationship skillsExcellent verbal and written communication skills and presentation skillsExcellent organizational skills with the ability to handle multiple projects with attention to detailPreferred Qualifications:MBA, Juris Doctorate or other advanced degree2-5 years of experience in the financial services industryStrong working knowledge and understanding of US securities laws and regulations, including Bank Secrecy Act (BSA), OFAC and FinCEN regulationsAnti-Money Laundering (AML) experience, experience with AML surveillance systems (i.e., Actimize) is a plusCAMS certificationExperience at or interfacing with securities regulators, such as FINRA, SEC and the Securities Divisions of each stateComprehensive understanding of mutual funds, annuities and/or advisory productsStrong project management skillsExperience with FINRA Gateway and/or WebCRDOur Benefits:Day one health, dental, and vision insurance401(k) Plan with competitive employer matchVacation, sick, holiday and volunteer time offLife and disability insuranceFlexible Spending Account & Health Savings AccountProfessional developmentTuition reimbursementCompany-sponsored social and philanthropy eventsIt has been and will continue to be the policy of Primerica, Inc., and its subsidiaries to be an Equal Opportunity Employer.

We provide equal opportunity to all qualified individuals regardless of race, sex, color, religious creed, religion, national origin, citizenship status, age, disability, pregnancy, ancestry, military service or veteran status, genetic or carrier status, marital status, sexual orientation, or any classification protected by applicable federal, state or local laws.At Primerica, we believe that diversity and inclusion are critical to our future and our mission – creating a foundation for a creative workplace that leads to innovation, growth, and profitability. Through a variety of programs and initiatives, we invest in each employee, seeking to ensure that our people are not only respected as individuals, but also truly valued for their unique perspectives.