Vice President, Securities Compliance
PFS Investments Inc.
Join Our Team!
In 2022, the Atlanta Journal-Constitution named the Primerica one of the best places to work for the ninth consecutive year. Also in 2022, Primerica was named one of the Best Employers for Diversity by Forbes for the second consecutive year. Forbes also named Primerica as one of America’s best Insurance companies for 2022. Primerica ranks 6th among 25 companies included in the Term Life Insurance category. Over the past seven years Primerica has consistently been voted Best Employer by Gwinnett Magazine in its special "Best of Gwinnett" winner editions. 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 Securities Compliance Department is looking for an experienced compliance professional to lead and manage a growing team of Compliance Officers, Attorneys and/or Analysts. This role is responsible for helping maintain a comprehensive compliance program for a Broker-Dealer and Registered Investment Adviser. The Vice President, Director of Securities Compliance will partner with all business units to ensure compliance with regulatory requirements, conduct compliance testing, implement changes due to regulatory updates, respond to regulatory examinations and inquiries, etc. Depending on background experience, this role may also be responsible for overseeing the Firm’s Anti-Money Laundering (AML) and Senior & Elderly programs, which involves overseeing the filing of Suspicious Activity Reports (SARs) and financial exploitation reporting.
This is a hybrid remote work model. Base salary is up to 150K with bonus potential.
ESSENTIAL DUTIES AND RESPONSIBILITES:
• Manage regulatory examinations and respond to regulatory requests from securities regulators such as FINRA, the SEC and state securities divisions
• Maintain the firm’s written supervisory procedures (WSPs) and compliance risk assessments
• Conduct Compliance monitoring and testing and complete annual supervisory reviews
• Monitor regulatory updates and implement such changes, when applicable, into the WSP and internal control procedures
• Partner with other departments to manage the retention of books and records pursuant to regulatory requirements
• Serve as a compliance subject matter expert and provide guidance to all business units, senior management, and the sales force
• Design and conduct training for home office employees and the sales force, including the training script for the Annual Compliance Meeting
REQUIRED QUALIFICATIONS:
• Bachelor’s Degree
• 6-10 years of experience in the financial services industry, with at least 2 years of experience managing people and projects
• Strong working knowledge and understanding of US securities laws and regulations
• Securities licenses (e.g., Series 7, 24 and 66), or obtained within 150 days of hire
• Relevant compliance experience, including policies and procedures development, compliance risk assessments, responding to
regulatory inquiries, etc.
• High degree of attention to detail and thoroughness are essential for this role
• Self-starter and excellent analytical skills
• Strong project management skills
• Ability to create clear, convincing, well-organized presentations and communications
• Strong leadership skills and demonstrable experience and success in working in high-performance teams
• Ability to manage multiple priorities in a fast-paced, everchanging environment
• Excellent Word, PDF, Excel, and PowerPoint skills
• Excellent analytical, research, and writing skills
• Excellent interpersonal relationship skills
• Excellent verbal and written communication skills
PREFERRED QUALIFICATIONS:
• MBA, Juris Doctorate or other advanced degree
• Experience at or interfacing with securities regulators, such as FINRA, SEC and the Securities Divisions of each state
• Anti-Money Laundering (AML) experience
• Comprehensive understanding of mutual funds, annuities and/or advisory products
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 insurance
• Flexible Savings Account & Health Savings Account
• Professional development
• Tuition reimbursement
• Company-sponsored social and philanthropy events
It 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.