Specialist, Registered Product Operations - Legal (REMOTE)

Date: Sep 21, 2022

Primary Location: Hartford, CT, US

Company: Lincoln Financial


Alternate Locations: Work from Home


Work Arrangement: Work from Home


Relocation assistance:: is not available for this opportunity.


Pay Range: $48,900 - $103,600 


Bonus Potential:  5% 


Requisition #: 70128



Role at a Glance:

As a Specialist, Registered Product Operations – Legal, you will perform and deliver on routine assignments/projects for your assigned area(s) of responsibility within the Registered Product Operations (RPO) team. In this role you will develop technical skills within content management system in support of summary prospectuses for Variable Universal Life (VUL) and Variable Annuity (VA) products. You will also assist with VUL and VA Registration Statement filings as needed.  

What you'll be doing:

  • Develop technical skills within content management system in support of VUL and VA summary prospectuses.  Assist with annual summary prospectus filing updates, including the analysis and recommendation of prospectus changes resulting from SEC rulings. 
  • Assist with the preparation, updating and SEC filing of VUL and VA statutory prospectuses for May 1 and off-cycle updates, including the preparation of responses to external auditor inquiries for assigned product filings.
  • Manage SEC filing Amendment tracking, annual post-effective filing season clean-up project within content management system, and accuracy of bi-annual N-30D filing documentation.
  • Completes all work within SEC mandated or market driven timeframes.
  • Ability to read, analyze, and translate product design requirements into readable format for prospectus content, and communicate and manage process for internal stakeholder review and approval.
  • Maintains knowledge on current and emerging developments/trends for assigned area(s) of responsibility, assesses the impact, and collaborates with management to incorporate new trends and developments in current and future solutions.
  • Performs and delivers on routine assignments/projects while simultaneously leveraging and applying knowledge of his/her assigned area(s) of responsibility.
  • Identifies and recommends process improvements that reduce workloads and/or improve quality across the RPO team.
  • Develops and maintains process and best-practice documentation for his/her assigned area(s) of responsibility.
  • Identifies and communicates risks to management.
  • Processes all updates in content management system in an accurate and timely manner for Legal review.
  • Provides effective and open communication with internal/external stakeholders to ensure transparency and consistency of actions.
  • Collaborates with appropriate stakeholders to ensure action plans capture and remediate the deficiencies found during reviews for assigned area of responsibility.
  • Complies with all company and site policies and procedures.
  • Remains current in professional and industry trends.
  • Performs other duties as required.

What we're looking for:


  • 1 - 3+ Years experience in compliance working with either variable products or mutual funds.  
  • 4 Year/Bachelor's degree or equivalent work experience (4 years of experience in lieu of Bachelor's)
  • FINRA Series 6 License required 180 Days upon hire 
  • General knowledge of variable life and annuity products and mutual funds.
  • Knowledge of SEC filing requirements and Registration Statements, specifically with 1933 and 1940 Acts, a plus.
  • Demonstrated initiative, organizational skills, and ability to perform under stress and with high volume work-loads during peak periods.
  • Strong technical skills with the ability to adapt to new systems.
  • Finds common ground and can gain collaboration among management, colleagues and peers; can influence outcome without directing or commanding.
  • Ability to interpret and apply pragmatic approach 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.
  • Ability to work with others in a team environment.
  • Proven ability to work independently with minimal supervision.
  • Successfully completes regulatory and job training requirements.


  • Prior experience with filing prospectuses with the SEC is preferred but not required.

What’s it like to work here?

At Lincoln Financial Group, we love what we do. We make meaningful contributions each and every day to empower our customers to take charge of their lives. Working alongside dedicated and talented colleagues, we build fulfilling careers and stronger communities through a company that values our unique perspectives, insights and contributions and invests in programs that empower each of us to take charge of our own future.


What’s in it for YOU:

  • A clearly defined career framework to help you successfully manage your career

  • Leadership development and virtual training opportunities

  • PTO/parental leave

  • Competitive 401K and employee benefits

  • Free financial counseling, health coaching and employee assistance program

  • Tuition assistance program

  • A leadership team that prioritizes your health and well-being; offering a remote work environment and flexible work hybrid situations

  • Effective productivity/technology tools and training


Work Arrangement

Work from Home : Employees will work from home and are not required to work in a Lincoln office on a regular basis.


Lincoln will evaluate the following when setting the successful candidate's wage rate:
•    Prior work or industry experience.
•    Education level to the extent education is relevant to the position.
•    Unique skills


About The Company

Lincoln Financial Group, a Fortune 200 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 $324 billion in end-of-period account values as of June 30, 2021.

Ranked one of the Best Large Employers in America and Best Employers for Women by Forbes magazine as well as one of Newsweek’s Most Responsible Companies, 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.


Lincoln is committed to creating a diverse and inclusive environment and is proud to be an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, gender, gender identity or expression, sexual orientation, national origin, genetics, disability, age, or veteran status. 


Lincoln Financial Group is a committed corporate citizen included on major sustainability indices including the Dow Jones Sustainability Index North America and FTSE4Good. Dedicated to diversity and inclusion, we earned perfect 100 percent scores on the Corporate Equality Index and the Disability Equality Index. Follow us on Facebook, Twitter, LinkedIn, and Instagram. Sign up for email alerts at http://newsroom.lfg.com


Be Aware of Fraudulent Recruiting Activities

If you are interested in a career at Lincoln, we encourage you to review our current openings and apply on our website. Lincoln values the privacy and security of every applicant and urges all applicants to diligently protect their sensitive personal information from scams targeting job seekers. These scams can take many forms including fake employment applications, bogus interviews and falsified offer letters.

Lincoln will not ask applicants to provide their social security numbers, date of birth, bank account information or other sensitive information in job applications. Additionally, our recruiters do not communicate with applicants through free e-mail accounts (Gmail, Yahoo, Hotmail) or conduct interviews utilizing video chat rooms. We will never ask applicants to provide payment during the hiring process or extend an offer without conducting a phone, live video or in-person interview.  Please contact Lincoln's fraud team at fraudhotline@lfg.com if you encounter a recruiter or see a job opportunity that seems suspicious.


Additional Information

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, Veteran 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.


This Employer Participates in E-Verify. See the E-Verify notices.

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Nearest Major Market: Hartford

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