Surveillance Administrator

Date: Jan 8, 2019

Location: Philadelphia, PA, US

Company: Lincoln Financial

Alternate Locations: Philadelphia, PA (Pennsylvania)

Relocation assistance is not available for this opportunity.

Requisition #58209

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

 

This Surveillance Administrator will perform and deliver on routine assignments for his/her assigned area(s) of responsibility independently in accordance with established procedures/guidelines.  The incumbent will review e-mail correspondence generated in Lincoln’s field office locations to ensure Lincoln is in compliance with all guidelines.

 

Responsibilities

  • Reviews all e-mail correspondence to identify sales practice issues and violations of firm or industry regulations.
  • Creates, monitors and analyzes correspondence reports to ensure that Lincoln is in compliance with percentages required to review, as well as resolution to any issues.
  • Works with field management in order to resolve issues discovered in the review process
  • Provides trend reporting of violations and training opportunities suggestions to branch field management
  • Supports and promotes change management and/or departmental/enterprise initiatives within assigned area(s) of responsibility.
  • Meets or exceeds departmental quality and service standards.
  • Delivers routine work independently, in accordance with established procedures and guidelines, in a timely manner and meets deadlines appropriately.
  • Makes routine and non-routine decisions under close supervision, applying limited discretion within role except for matters of significance which affect the business as a whole or a significant part of it, in accordance with established procedures/guidelines.
  • Performs task by applying core knowledge obtained from the role and acquires increasingly more knowledge to apply in the role.
  • Carries out duties in compliance with all state and federal regulations and guidelines.  Complies with all company and site policies and procedures.
  • Performs other duties as required.

 

Education

  • High School Diploma or GED  or 4+ years work experience that directly aligns with the specific responsibilities for this position
  • FINRA Series 7 preferred 

 

Experience

  • 0-1 years’ experience in the financial services industry that directly aligns with the specific responsibilities desirable
  • A demonstrated track record of consistently meeting and/or exceeding performance expectations
  • Ability to interpret and apply common sense understanding to carry out a variety of instructions furnished in written, oral, or diagram form.
  • Define problems, collect data, establish facts and draw valid conclusions.
  • Demonstrates ability to evaluate information and the implications of a course of action or solution.
  • Ability to work with others in a team environment.
  • Demonstrates the ability to use sound judgment and discretion regarding confidential information.
  • Proficiency with Microsoft Office Suite (Word, Excel, PowerPoint, Outlook).
  • Successfully completes regulatory and job training requirements.
  • Demonstrates ability to work in a fast-paced environment.
  • Demonstrates strong interpersonal skills with a collaborative style.
  • Demonstrates strong organizational skills with the ability to prioritize workload and multi-task while maintaining strict attention to detail.
  • Demonstrates solid relationship management skills with internal and/or clients (e.g. management, peers, colleagues, customers, etc.).
  • Demonstrates strong written and verbal communication skills.
  • Ability to read, analyze and interpret internal documents such as policy and procedures and standard operating procedures.

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.

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Nearest Major Market: Philadelphia

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