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Assistant General Counsel - Broker/Dealer

Posted May 23
Full Time
Duluth, Georgia

Join Our Team

In 2022, the Atlanta Journal-Constitution named 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

Primerica, Inc. is seeking an attorney who desires a position in a stable and supportive environment where long tenure is the norm. This attorney will be a member of the legal department’s Securities Business Counsel group and will assume a senior role in support of Primerica’s retail wealth management business operated through the company’s affiliated investment adviser and broker-dealers.

Responsibilities & Qualifications

Job Duties & Responsibilities

  • Provide counsel and regulatory expertise in connection with our affiliated broker-dealer’s distribution of mutual funds, annuities, IRAs, and employer-sponsored retirement plans.
  • Assume primary responsibility for tracking and analyzing state and federal regulatory initiatives impacting Primerica’s investment adviser and broker-dealer affiliates.
  • Support marketing initiatives as a subject matter expert responsible for compliance with SEC and FINRA rules governing advertising and communications with the public.
  • Provide product-level expertise regarding variable, index-linked and fixed annuities and assume a leadership role in connection with the supervision of annuity transactions.
  • Assist with efforts to monitor and manage conflicts of interests, and with the ongoing maintenance of disclosure documents required under the Investment Advisers Act, ERISA and Regulation Best Interest.
  • Serve as a primary legal contact to the firm’s affiliated mutual fund recordkeeper, and provide counsel related to the development and maintenance of back-office policies and procedures, the review of legal documents received by the firm and the resolution of inquiries received from account owners and third parties.
  • Manage and train junior attorneys.
  • As needed, this position will provide support to the discretionary wrap fee program sponsored by Primerica’s affiliated investment adviser.
  • Securities industry experience and 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.

Knowledge, Skills, And Abilities

  • Strong analytical skills
  • Strong legal research and writing skills
  • Strong interpersonal skills
  • Strong written and verbal communication skills
  • Ability to work both independently and as part of a team
  • Ability to work with internal colleagues as well as independent financial professionals

Minimum Requirements

  • Juris Doctor Degree
  • Bar licensure membership of any state bar association
  • 3 – 7 years of previous experience, preferably with 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
  • Series 7 and 24 securities licenses (or obtain within 120 days of hire)

FLSA Status

This position is exempt (not eligible for overtime pay):


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.

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