Regional Senior Compliance Advisor

Date: Dec 21, 2018

Location: Hartford, CT, US

Company: Lincoln Financial

Alternate Locations: Concord, NH (New Hampshire); Fort Wayne, IN (Indiana); Hartford, CT (Connecticut); Philadelphia, PA (Pennsylvania)

Relocation assistance is not available for this opportunity.

Requisition #58148

About the Company

Lincoln Financial Group, a Fortune 250 company with over 10,000 employees, provides advice and solutions that help empower Americans to take charge of their financial lives with confidence. Our core business areas — Life Insurance, Annuities, Retirement Plan Services and Group Protection — focus on supporting, preserving and enhancing over 17 million customer’s lifestyles and retirement outcomes.

Headquartered in Radnor, Pennsylvania, Lincoln Financial Group is the marketing name for Lincoln National Corporation (NYSE: LNC) and its affiliates. The company had $253 billion in assets under management as of December 31, 2017.

Ranked one of the Best Large Employers in America by Forbes magazine, Lincoln Financial Group makes a serious investment in our employees’ futures through a broad range of wealth accumulation and protection plans, health and wellness programs, and career development resources designed to help each individual reach their personal and professional goals.

 

The Role

 

The Regional Compliance Advisor (“RCA”) team is the principal field-facing Compliance group that supports Lincoln Financial Network. This group is responsible for LFN Compliance field communications and training initiatives including, but not limited to: the Compliance Alert process, annual training requirements, such as the Firm Element and Annual Compliance Meeting, as well as ad-hoc meetings, such as Quarterly Compliance Calls and the Compliance Corner training sessions.

 

The RCA, serves as the compliance subject matter expert to LFG’s two retail broker-dealers, including its retail field and operations partners, concerning interpretation and application of LFN Compliance policies, FINRA, SEC and state securities division rules, and day-to-day compliance issues.  The RCA provides compliance guidance to assigned field offices and operations partners and performs required reviews and/or surveillance as part of the firm’s ongoing supervision and risk management efforts. 

 

Responsibilities

 

Compliance Guidance

  • Assists various Compliance Sections within LFGD BL&C and LFN Operations in the development of risk-based new and amended Compliance policies
  • Partners effectively with LFN Operations, DVPs, RMs, RDOs, BOMs, OSJ Managers, RRs, IARs and other business partners in providing compliance advice concerning interpretation and application of LFN Compliance policies and regulatory rules, in addition to a wide variety of day-to-day Compliance questions and issues
  • Communicates proactively and reactively with field offices, broker-dealer and investment advisor Operations, Risk and Product Departments, management and other Compliance staff concerning Compliance matters
  • Facilitates Compliance calls, meetings and focus groups to guide Home Office and field clients on compliance-related topics
  • Collaborates with and contributes to the RCA team to ensure consistency of action and transparency
  • Conducts technical reviews of required reporting for retail field associates
  • Analyzes results of various surveillance activities and provides advice and counsel concerning necessary and appropriate actions
  • Investigates with the Surveillance and Supervisory teams’ rule/policy infractions for possible disciplinary action
  • Provides guidance and support to field, Operations and Risk partners concerning the presentation of cases for consideration of potential disciplinary action to the Business Conduct Committee
  • Partners with field supervision, Operations and Risk partners to appropriately document investigations and to ensure decisions on disciplinary action cases are fully implemented
  • Manages the Outside Business Activity and Private Security Transaction process

 

Training

  • Designs and develops annual and ad-hoc compliance training materials
  • Delivers annual and ad-hoc compliance training as required or appropriate

 

Requirements

 

Education

  • Undergraduate degree or 4+ years of comparable work experience required

 

Experience

  • 4+ years of experience in a Registered Principal capacity that directly aligns with the specific responsibilities for this role
  • FINRA Series 7 & 24 licenses required
  • Thorough understanding of FINRA and SEC rules and regulations
  • Broad experience in securities compliance with some field experience preferred
  • Must subscribe to the trusted advisor, strategic partner, risk-based, collaborative and solutions-oriented philosophy of the LFG Distribution Legal and Compliance organization
  • A demonstrated track record of consistently meeting and/or exceeding performance expectations
  • Strong written and verbal communication skills
  • Ability to apply concepts such as probability, statistics, modeling, percentages, ratios, and proportions to practical solutions.
  • Critical thinker with an ability to analyze information and to evaluate the implications of a course of action or strategy
  • Ability to think independently and provide effective, risk-based advice and counsel
  • Excellent judgment and relationship management skills #LI-CG1

 

This position may be subject to Lincoln’s Political Contribution Policy.  An offer of employment may be contingent upon disclosing to Lincoln the details of certain political contributions. Lincoln may decline to extend an offer or terminate employment for this role if it determines political contributions made could have an adverse impact on Lincoln’s current or future business interests, misrepresentations were made, or for failure to fully disclose applicable political contributions and or fundraising activities.

Any unsolicited resumes/candidate profiles submitted through our web site or to personal e-mail accounts of employees of Lincoln Financial Group are considered property of Lincoln Financial Group and are not subject to payment of agency fees.

Lincoln Financial Group (“LFG”) is an Equal Opportunity employer and, as such, is committed in policy and practice to recruit, hire, compensate, train and promote, in all job classifications, without regard to race, color, religion, sex (including pregnancy), age, national origin, disability, sexual orientation, gender identity and expression, veterans status, or genetic information.  Applicants are evaluated on the basis of job qualifications.  If you are a person with a disability that impedes your ability to express your interest for a position through our online application process, or require TTY/TDD assistance, contact us by calling 260-455-2558.

#P4 


Nearest Major Market: Hartford

Job Segment: Compliance, Law, Risk Management, Series 7, Legal, Finance