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Surveillance Administrator

Description
Company Name: Primerica

Primerica currently has the following opening in our corporate office located at 1 Primerica Parkway in Duluth, Georgia:

As part of the Securities Business Review Team, the Surveillance Administrator researches surveillance reports regarding agent related activity, mutual fund, variable annuity and managed account transactions to determine whether an investigation into activities is necessary. The candidate is responsible for contacting the writing rep, upline RVP and/or OSJ to obtain additional facts surrounding the related activity and to identify sales force education, training or counseling needs. The Surveillance Administrator may need to conduct Client Satisfaction Surveys to analyze rep business practices to determine whether inappropriate transactions exist. The Surveillance Administrator maintains knowledge and understanding of Investments and Savings product lines offered and company policies regarding mutual fund, variable annuity and managed products. The Surveillance Administrator will be responsible for presenting higher level issues to the Surveillance Review Board (SRB) and following through with implementing the decision(s) made SRB.

KNOWLEDGE, SKILLS AND ABILITIES:

• Bachelors’ Degree or equivalent experience in the investment industry
• Series 6 and 26 licenses or Series 7 and 24 licenses required
• Series 65 or 66 is a plus
• Fundamental understanding of industry regulations
• Fundamental understanding of Primerica systems, Products, and Sales Force
• Excellent PC skills
• Strong ability to communicate effectively both verbally and in writing and possess excellent interpersonal skills
• Strong leadership and analytical skills
• Strong organizational skills, including the ability to manage multiple tasks and projects simultaneously and meet deadlines
• Ability to self-motivate and work in an inter-dependent team environment
• Ability to recognize legal and regulatory issues affecting the liability of the Company
• Knowledge of legal issues associated with independent contractor issues
• Knowledge of securities and regulations as they apply to sales practice issues affecting the sales force
• Knowledge of and ability to identify compliance pitfalls, including suitability, selling away, outside business activities, anti-money laundering, elderly and diminished capacity.

For more information of this job and to Apply Online, please visit us at http://www.employmentcrossing.com/lcjsjobdetail.php?akey=7fdd2a688c8c30062b44100383c05399&pubid=7343d2cc7f4f67850872702f4a598a2e
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