Brokerage Surveillance Analyst

Join Our Team

In 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 Brokerage Surveillance Analyst is responsible for researching surveillance and monitoring exception reports designed to identify sales practice issues, red flags, concerning business trends, or patterns of unusual activity. Cases are established for incidents that require more comprehensive research and may include in-depth product and best interest discussions with the representative, Branch Manager, OSJ Advisor, and the client. Certain cases may result in client settlements and training or disciplinary action for the representative(s).

This is hybrid position that offers flexibility for remote and onsite work. Candidate must be local and be available to work both onsite and remotely during the week.

The salary range for this role is $55k-$60k.

Responsibilities & Qualifications

Job Duties:

• Collect transactional and account information and summarize information in a digestible format using internal tracking systems. Must be proficient in knowledge of internal and external systems used for image storage, transactional data, etc. and able to apply this information to your research and understanding of activity within each account.

• Identify, comprehend and communicate potentially complex securities topics, including sales practices, general compliance, Firm policies and procedures, best practices.

• Applying reasonable judgment when working with advisors to provide solutions to problems while ensuring compliance with firm policies and regulatory rules. Educate, promote and reinforce the Firm's policies and procedures and best practices surrounding the investment business to support the sales force grow their business in a compliant manner.

• Contact with investment clients to ensure their satisfaction with the services provided by their representative.

• Diagnose potential violations of the Firm's policies and procedure and be knowledgeable of when this information needs to be referred to other departments or addressed internally.

• Utilize internal or third-party systems and contacts to research purchase and redemption activity within brokerage accounts. Must be proficient in knowledge of internal and external systems uses for image storage, transactional data, etc.).

• Analyzing and monitoring exception reports for potential violations of firm policies or regulatory rules, as well as potential sales practice issues. This requires being knowledgeable of complex securities topics, including sales practices, general compliance, Firm policies and procedures for all areas of securities and typical best practices.

• Ability to identify when activity within account(s) is inconsistent with the documented investment objective and must be able to clearly summarize activity on reports and make informed decisions on whether further action/research is required through case work.

• Clearly and concisely communicate complex account activity that have potential sales practice violations to senior management in a digestible format.

• Communicate decisions made by senior management in a constructive manner.

• Complete required paperwork and provide training on complex securities topics. Requires proficiency in all Microsoft applications.

KNOWLEDGE, SKILLS & ABILITIES

• Strong working knowledge of brokerage products and brokerage product suitability and ability to identify and recommend resolutions for compliance pitfalls, including suitability, selling away, outside business activities, anti-money laundering, elderly, diminished capacity and commission systems.

• Working knowledge of SEC, FINRA, MSRB rules and their applicability the Firm

• Excellent organizational skills with the ability to handle multiple high priority projects with attention to details.

• Detail-oriented with aptitude for identifying risk and capability to research complex problems and collaborate to create solutions.

• Strong decision-making, investigative, and analytical skills as well as problem-solving and critical-thinking skills.

• Highly proficient computer skills, including the use of MS Word, Excel, PowerPoint, data management programs, and CRMs

• Strong sense of ethics, accountability, and judgment.

• Excellent communication and presentation skills with the ability to communicate effectively across various departments and levels of the organization

• A lifelong learner who enjoys growing from experiences and bringing ideas to the table.

• A positive outlook with a strong desire to help others

QUALIFICATIONS

• Bachelor’s degree or equivalent experience in the investment industry

• SIE, Series 6, 26 (or 7, 24) licenses required; can be obtained through a learning agreement

• Intermediate knowledge of PC and Microsoft Office Word/Excel

HOURS

• Monday-Friday: 8am - 5pm

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 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.

About Us

Primerica is a leading provider of financial products and services to middle-income families in the U.S. and Canada. Since 1977, Primerica has helped millions of middle-income households protect their families and save for the future. We insure over 5.5 million lives and have approximately 3.0 million client investment accounts.

Headquartered in metro Atlanta, Primerica is a Fortune 1000 company with over 2,800 employees located in the U.S. and Canada. Our employees are an integral part of achieving Primerica’s mission in creating more financially independent families and supporting over 151,000 licensed financial representatives across the U.S. and Canada.

The Company’s competitive salaries, award-winning benefits packages, and employee recognition programs are just a few of the reasons the average employee tenure is 13 years.

Awards and Recognitions

• Newsweek’s America’s Greatest Workplaces

• USA Today’s Top Workplaces USA

• Atlanta Journal-Constitution’s Top Workplaces

• Forbes America’s Best Insurance Companies

• #1 Most Trusted Life Insurance Company by Investor’s Business Daily

• #3 Most Trusted Financial Company by Investor’s Business Daily

Our stock is traded on The New York Stock Exchange under the symbol “PRI.”

If you need help with any part of the application process, please email Recruiting@primerica.com.

www.primerica.com

PRIMERICA CAREERS