Specialist, Product Compliance & State Filing

Date: Jun 29, 2019

Location: Hartford, CT, US

Company: Lincoln Financial

Alternate Locations: Hartford, CT (Connecticut)

Relocation assistance is not available for this opportunity.

Requisition #59977

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 $238 billion in assets under management as of December 31, 2018.

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 Product Compliance & State Filing Specialist is responsible for providing state filing support to the Group and Individual Annuity State Filing team, state filing of advertising material, record keeping for life and annuity state filing approvals, and providing support to regulatory personnel in researching archives and providing requested material on an expedited basis.  This position is also responsible for providing administrative support to the AVP of the Annuity State Filing team.





  • Support Annuity State Filing personnel in setting up State filings in SERFF, setting up and completing certifications, setting up FAST approval database, and working with team members to ensure timely and concise state filing builds.
  • Provide support to regulatory personnel in responding to requests for state approval information by researching state approval archives and providing requested documentation in an organized and timely manner and on an expedited basis.
  • Provide administrative support to the AVP of the Annuity State Filing team, including managing calendars, setting up meetings, ordering supplies, submitting expense reports, coordinating office moves, reserving conference rooms and other tasks as may be deemed necessary.
  • File and secure state insurance department approvals of advertising material and ensure materials are in compliance with State and Federal laws
  • Performs and delivers on routine assignments/projects while simultaneously leveraging and applying knowledge of his/her assigned area(s) of responsibility.
  • Maintains knowledge on current and emerging developments/trends for assigned area(s) or responsibility, assess the impact, and collaborates with management to incorporate new trends and developments in current and future solutions.
  • Collaborating with management, legal, compliance, actuarial and state regulatory personnel to resolve any issues relevant to securing state approval of forms and rates, or to revise products or procedures for compliance with new laws.
  • Respond to internal and external (ie state regulators) inquiries in a timely manner.
  • Evaluate and answer questions in relation to the interpretation of advertising languages.
  • Identifies and communicates to management process improvements that reduce workloads or improve quality for his/her assigned area(s) of responsibility.
  • Promote and enhance organizational initiatives by positively influencing and supporting change management and/or departmental/enterprise initiatives within assigned area(s) of responsibility.
  • Maintain accurate records of approval information so that approved products and forms are correctly issued and contract language is as mandated for all states.
  • Maintain archive catalogues for state approval records in an organized and concise fashion.


  • Undergraduate Degree or 3+ years of comparable work experience


  • 1 - 3 Years of Experience in the Insurance Industry and Compliance that directly aligns with the specific responsibilities for this role.
  • 1 - 3 Years of Experience using SERFF and INSource preferred
  • Strong written and verbal communication skills.
  • Ability to read, analyze and interpret both internal and external documents such as general media/publications, professional journals, technical procedures, governmental regulations, policies, proposals, and standard operating procedures.
  • Ability to evaluate information and the implications of a course of action or solution.
  • Ability to interpret and apply common sense understanding to carry out a variety of instructions furnished in written, oral, or diagram form.
  • Ability to solve problems and deal with a variety of concrete variables in situations where only limited standardization exists.
  • Define problems, collect data, establish facts and draw valid conclusions.
  • Evaluate trends in data or information.
  • Demonstrates the ability to use sound judgment and discretion regarding confidential information.
  • Demonstrates excellent organizational skills with the ability to prioritize workload and multi-task while maintaining strict attention to detail.
  • Demonstrates solid project management skills including, critical ability to coordinate and balance multiple projects in a time-sensitive environment, under pressure, and meeting deadlines.
  • Finds common ground and can gain collaboration among management, colleagues and peers; can influence outcomes without directing or commanding.
  • Demonstrated strong relationship management skills with internal clients (e.g. management, peers and colleagues).
  • Demonstrates strong interpersonal skills with collaborative style.
  • Proficiency with Microsoft Office Suite (Word, Excel, PowerPoint, Outlook).
  • Successfully completes regulatory and job training requirements.
  • Ability to perform under stress in cases of emergency, critical or hazardous situations.
  • Ability to work with others in a team environment.


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.


Nearest Major Market: Hartford

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