Broker-Dealer / Investment Adviser Attorney - Duluth, United States - Primerica

Description

****Join Our Team****

Due to COVID-19, most of our employees are working from home. We have implemented a virtual hiring process and continue to interview candidates by phone or video conferencing, and we are onboarding new employees both onsite and remotely. We value the safety of every member of our community.

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**About this Position**

The Securities Business Counsel department is seeking an Attorney to support its affiliate PFS Investments Inc., a dually registered broker-dealer and investment adviser. Securities industry experience (in-house, law firm or regulatory) and working knowledge of Securities Act of 1933, Securities Exchange Act of 1934, Investment Advisers Act of 1940, ERISA, FINRA rules, SEC rules and state securities laws is preferred. ****

**Responsibilities & Qualifications**

**DUTIES:**

Providing legal counsel in connection with the broker-dealers distribution of mutual funds, annuities, IRAs, and employer-sponsored retirement plans, as well as the firms wrap-fee advisory program

Work with the existing legal staff on all aspects of the firms business, including product due diligence, IRA custodian, vendor agreements, brokerage agreements, advisory agreements, training, advertising review, regulatory disclosures, regulatory filings, and monitoring of regulatory changes

Support the firms affiliated mutual fund recordkeeper in connection customer account administration, which may include investigating and responding to inquiries from investors, regulatory agencies and other third parties

****KNOWLEDGE, SKILLS AND ABILITIES:****

Juris Doctor Degree

Member of any state bar association

Series 6, 26 and 65 securities licenses (or must obtain within 150 days of hire)

1-3 years of experience with relevant securities laws or other beneficial legal experience preferred

Strong analytical skills

Strong legal research and writing skills

Strong interpersonal relationship skills

Strong written and verbal communication skills

**FLSA status:**

This position is exempt (not eligible for over time):

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.

locationDuluth, GAlocationDuluth, GA**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.