Part Time : No
About The Company
Lincoln Financial Group is a Fortune 500 company offering a diverse range of financial services and solutions. With a strong focus on four core business areas - life insurance, annuities, retirement plan services, and group protection - our business is built around supporting, preserving, and enhancing our customer's lifestyles and providing better retirement outcomes. Led by over 9,000 employees, Lincoln Financial provides the tools and advice to help individuals take charge of their futures.
As an Advertising Compliance Specialist, you will work with other compliance professionals, regulators, field supervisors, broker-dealer operations as well as other corporate departments. This position is in the Advertising Compliance Group of Lincoln Financial Group’s Enterprise Compliance team.
· Review posts and responses from social media outlets from both retail and wholesale representatives
· Proactively provide guidance on effective compliance and marketing strategies for marketing with social media within financial advisory space
· Develop relationships with industry contacts for social media processes and procedures within the financial services space
· Develop strategies for managing online marketing library content
· Prepare response to material based on firm interpretation of applicable regulations in a timely manner
· Prepare presentations and written communications to staff and field related to material
· Provide compliance support to business leaders.
· Review and promote the Lincoln Enterprise’s Social Media initiatives.
· Support field audits of broker dealer activities
· Prepare, maintain & update internal databases, reports and exceptions using multiple resources related to firm and representative-specific communications
· Maximize existing reporting resources and develop additional resources, as regulatory and business needs require.
· Review websites and other electronic media materials to support business and transition initiatives
· Respond to home office initiatives and research best practices related to sales literature review
· Remain informed of regulatory developments and assist in the implementation of policies and procedures in response to such developments Requirements
· Undergraduate Degree or 4+ years of comparable work experience
· FINRA Series 7, 24 required or obtained within first six months of hire. FINRA Series 65/66 required within first year
· At least 1-3 years of securities operations and/or compliance experience
· Experience with advertising review preferred
· Working knowledge of Microsoft Office (Word, Excel, Access)
· In-depth knowledge of securities products and regulation with emphasis on load mutual funds, variable insurance products, advisory programs and brokerage accounts.
· Self-motivated and documented record of project ownership
· Strong organizational skills, attention to detail
· Proven skill in building strong relationships with field partners and business units
· Commitment to proper compliance documentation Requisition ID : 14-1245