Counsel, Retail Wealth Management

Date: Nov 23, 2022

Primary Location: Radnor, PA, US

Company: Lincoln Financial

 Alternate Locations: Radnor, PA (Pennsylvania); Atlanta, GA (Georgia); Boston, MA (Massachusetts); Dover, NH (New Hampshire); Fort Wayne, IN (Indiana); Greensboro, NC (North Carolina); Hartford, CT (Connecticut); Omaha, NE (Nebraska)


Work Arrangement: Hybrid/Home


Relocation assistance: is not available for this opportunity.


Requisition #: 70655



The Role at a Glance:

Lincoln Financial Network (LFN) is the retail financial distribution and wealth management channel for Lincoln Financial Group.  It is comprised of two dually-registered broker-dealers and investment advisers and an insurance agency channel.  The Counsel, Retail Wealth Management role will be responsible for developing and assisting with the overall legal, regulatory, and compliance aspects of LFN’s retail wealth management services offered, with a focus on LFN’s retirement plan services, the review and completion of various broker-dealer selling agreements, and LFN’s related fiduciary and best interest regulatory requirements. S/he will work closely with LFN’s senior management and compliance personnel in LFN’s broker-dealer and investment advisory services, legal, finance, operations, risk, and marketing groups.  The individual must possess a general understanding of retirement plan programs and solutions with a general understanding of the following types of services provided and products offered: retirement plan products, group variable annuities, and various other securities products offered by retail broker-dealer entities and their related SEC, FINRA and ERISA regulatory requirements, filings, client disclosures, and contractual arrangements, including but not limited to, 408b2 disclosures, trust agreements, Regulation Best Interest (Reg BI) Disclosure Document, client agreements, etc..


The Counsel, Retail Wealth Management role will also be responsible for the overall development and communication of ERISA, FINRA, and SEC rules and regulations and LFN’s policies and procedures addressing conflicts of interests, client disclosures and contractual requirements. S/he will act as a subject matter expert on ERISA policies and partner with more senior members of the legal team in developing necessary agreements and disclosures consistent with ERISA, SEC, FINRA, and fiduciary requirements.

*This role will be a flexible work arrangement. 

What you'll be doing:

  • Provides direction on complex assignments, projects, and/or initiatives to build and enhance the capability of his/her assigned area(s) of responsibility.
  • Directs and enhances organizational initiatives by positively influencing and supporting change management and/or departmental/enterprise initiatives within assigned area(s) of responsibility.
  • Identifies and directs the implementation of process improvements that significantly improve quality across the team, department and/or business unit for his/her assigned area(s) of responsibility.
  • Provides subject matter expertise to team members and applicable internal/external stakeholders on complex assignments/projects for 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 senior management to incorporate new trends and developments in current and future solutions.
  • Partners with more senior members of the legal team to oversee monitoring of complex ERISA, broker-dealer, and investment advisory business activities, by understanding current business models and structures and being informed of any new enhancements or changes to current LFN investment advisory and broker-dealer functions to analyze the ERISA (and fiduciary) regulatory implications.
  • Collaborates with other members of the team and Chief Compliance Officer in developing, updating and maintaining compliance policies and procedures (i.e., compliance manuals, conflict of interest policies, etc.). 
  • Leads the development of necessary agreements and disclosures consistent with ERISA and fiduciary requirements and partners with other senior members of the legal team for final review.
  • Communicate complex policies/procedures to designated supervisors and representatives of the firm to ensure proper understanding of related risks and responsibilities.
  • As a subject matter expert acts as point of contact and provides consultation to internal/external stakeholders, specifically as it relates to compliance with ERISA requirements and other securities law regulatory requirements.
  • Participate as member of various committees to ensure the committee’s compliance with all applicable rules/regulations.
  • Develop and conduct trainings on various SEC, FINRA and ERISA policies and procedures to internal/external stakeholders.

What we're looking for:

  • Bachelor’s Degree required
  • Juris Doctor degree (J.D.) required
  • 2+ years experience related to SEC, ERISA and fiduciary matters for a financial institution that directly align with the specific responsibilities for this position
  • Experience in collaborating effectively and leading without authority across the enterprise; coaching and advising on talent development challenges for all levels in the organization
  • Demonstrates strong project management leadership skills including, critical ability to coordinate and balance multiple projects in a time-sensitive environment, under pressure, and
  • Demonstrated ability to identify and recommend processes improvements.
  • Finds common ground and can gain collaboration among senior management, colleagues and peers; can influence outcomes without directing or commanding
  • Demonstrated strong relationship management skills with internal clients (e.g., senior management, peers and colleagues); proven ability to develop creative and collaborative approaches.
  • Demonstrates strong interpersonal skills with collaborative style.
  • Strong presentation skills with demonstrated ability to influence at all levels of management through clear, informed and logical discussions/presentations. 
  • 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.
  • Confident, comfortable communicator with strong written and verbal communication skills.
  • Proficiency with Microsoft Office Suite (Word, Excel, PowerPoint, Outlook).
  • A demonstrated track record of consistently meeting and/or exceeding performance expectations. 
  • Possesses a bias for action and avoids workplace distractions. 
  • Drives performance targets to completion.

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

Hybrid/Home : Employees will work from home on average more days per week.


 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


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 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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