Securities Compliance Officer - AML & Elderly/Vulnerable Specialist

Posted today

primericaDuluth (GA)

Compliance Officers Portfolio Management and Investment Advice

SENIORITY

Senior

SALARY

$90,000 - $95,000 per year

Apply

About the role

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 Position: The 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 & Qualifications

Essential Duties & Responsibilities:

Conduct investigations into potential unusual activity and potential elderly/vulnerable exploitation and determine if there is required regulatory reporting
File required Suspicious Activity Reports (SARs) with FinCEN and conduct required follow up investigations
Run and research weekly AML reports, such as OFAC and 314(a) and ensure required reporting is made timely
Review on all new entity account applications for potential AML concerns
Conduct research on clients and entities investing large dollar amounts to verify source of funds and deter money laundering
Contact representatives and clients to investigate and detect potential unusual activity and/or elderly/vulnerable exploitation
Aid in the improvement of tools to monitor, analyze, and report suspicious activity such as conducting high risk jurisdiction reviews
Conduct an annual AML risk assessment
Assist in regulatory examinations and inquiries related to AMLCoordinate with an outside consulting firm to conduct the annual independent review of the Firm's AML Program
Provide AML and Senior and Elderly exploitation guidance and training to the business and the salesforce
Work with the transfer agent and outside fund companies to place freezes on accounts when necessary
Maintain and enhance AML policies and procedures, including the AML Program and CIP Program
Maintain the AML Identity Theft Prevention Program
Help with identifying any AML loopholes and coordinating projects to bridge those gaps

Required Qualifications:

Bachelor's Degree 2+ years of professional experience, preferably in the investment industry
Securities licenses (e.g., SIE Exam, Series 7, 24 and 66), or obtained within 150 days of hire
High degree of attention to detail and thoroughness are essential for this role
Self-starter and excellent analytical skills
Ability to manage multiple priorities in a fast-paced, everchanging environment
Ability to create clear, convincing, well-organized presentations and communications
Detail-oriented with aptitude for identifying risk and capability to research complex problems and collaborate to create solutions
Ability to conduct research and provide management with proposed solutions
Strong investigative and analytical skills as well as problem-solving and critical-thinking skills
Strong sense of ethics, accountability, and judgment
Great listening and communication skills with an ability to nurture positive relationships

Excellent 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 detail

Preferred Qualifications:

MBA, Juris Doctorate or other advanced degree 2-5 years of experience in the financial services industry
Strong working knowledge and understanding of US securities laws and regulations, including Bank Secrecy Act (BSA), OFAC and FinCEN regulations
Anti-Money Laundering (AML) experience, experience with AML surveillance systems (i.e., Actimize) is a plusCAMS certification
Experience at or interfacing with securities regulators, such as FINRA, SEC and the Securities Divisions of each state
Comprehensive understanding of mutual funds, annuities and/or advisory products
Strong project management skills
Experience with FINRA Gateway and/or WebCRD

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 Spending 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.

Before you apply

Applying takes about a minute. These four things decide how fast it moves after that.

Your profile is current

It's what we read first. Occupations, seniority and locations matter more than a long history.

Two examples you can talk through

Not a portfolio — just two pieces of work where you can explain the decisions and what you'd change.

A number in mind

What you're on now and what would make you move. We negotiate better when we know both.

Your notice period

Employers plan around it, and it's the question that stalls offers most often.

Once you apply, someone reads it and calls you before anything reaches the employer — usually within two working days.