Salary Range: $65K - $75K
Position Type: Replacement for existing vacancyResponsibilities and Qualifications
Responsibilities:
- Plan and conduct timely and accurate compliance testing and related monitoring activities based on an established compliance test plan
- Assess results from compliance testing, prepare documentation, communicate test results, and assist with the preparation of appropriate remediation plans and implementation timelines
- Assist in development of annual compliance review test plan
- Prepare formal compliance reports and memos on a regular basis and ad hoc basis
- Assess and confirm with department managers or employees of the legislative and compliance requirements associated with their department(s) and how they correlate to the company’s compliance testing
- Collaborate with members of the regulatory compliance team on an ongoing basis to assess and maintain the company’s legislative compliance management system such that it properly correlates to the company’s monitoring and testing plan
- Ensure appropriate planning, testing, and working papers are documented, retained, and filed
- Complete research and analyze applicable legislative and regulatory requirements and recommend updates to the monitoring and testing engagement plan to reflect regulatory changes, and support the continued enhancement of the M&T Program
- Perform and document walkthroughs with process owners to assess key business unit operational processes and key compliance related controls
- Perform ad hoc reviews of business practices based on the development of new initiatives and changes to regulatory requirements
- Additional related duties as required
Qualifications:
- Work experience in the financial service industry, in compliance or in audit/ controls testing function required
- Post-Secondary education in a relevant field
- Experience in legislative and corporate regulatory compliance management
- Superior written and verbal communication skills; ability to draft superior quality analyses and reports
- Strong analytical and critical thinking skills (ability to analyze a problem and express the analysis in words, question the reasonability of a process/procedure) and proven ability to interact with all levels of management
- Excellent Attention to details (applicable in all areas such as sending an email, completing a testing sheet, or drafting a report). Exceptional organizational skills and ability to prioritize assignments
- Ability to read and interpret complex regulatory requirements as well as understand the impact of regulations on the business
- Focused, highly motivated results-oriented individual with the strong ability to multi-task and perform under pressure and within strict timelines in a fast-paced environment
- Must be proficient in MS Office
- Compliance and/or audit certification would be an asset
- Knowledge of securities and insurance legislative requirements would be considered a strong asset
Please note that the job responsibilities for this role may involve working with all departments of the company and cover all aspects of the business. This position has a wide range of responsibility and could be performed to greater or lesser degrees depending upon the skill set, experience and education of the successful candidate. As such, the above-noted qualifications may vary as the position evolves.
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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What We Do
Primerica is a leading financial services company in North America, with more than 2,000 corporate employees who support more than 129,000 licensed independent representatives providing financial education and offering financial products and services to their clients. Primerica has been operating for more than 40 years and is publicly traded on the New York Stock Exchange (NYSE) under the symbol "PRI." Primerica’s focus is on serving the needs of middle-income consumers by providing products such as term life insurance, mutual funds, annuities, and more. In addition to the products and services we offer, Primerica also offers entrepreneurial-minded individuals the opportunity to build their own financial services business. More information about Primerica's Business Opportunity can be found on www.primericabusinessopportunity.com. Headquartered in Duluth, Georgia, Primerica operates throughout the U.S., Canada, and the territories of Puerto Rico and Guam. We believe financial security should be possible for everyone, so we strive to meet families where they are today and help them be better prepared for their future.
