Broker-Dealer / Investment Adviser Attorney

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.Job Duties & ResponsibilitiesProvide 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 AbilitiesStrong analytical skillsStrong legal research and writing skillsStrong interpersonal skillsStrong written and verbal communication skillsAbility to work both independently and as part of a teamAbility to work with internal colleagues as well as independent financial professionals

Minimum RequirementsJuris Doctor DegreeBar licensure membership of any state bar association3 – 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)