AVP, RIA Compliance

Date: Jul 29, 2022

Primary Location: Radnor, PA, US

Company: Lincoln Financial


Alternate Locations: Work from Home; Fort Wayne, IN (Indiana); Philadelphia, PA (Pennsylvania)


Work Arrangement: Work from Home


Relocation assistance:: is not available for this opportunity.


Pay Range: $111,500 - $241,500 


Bonus Potential:  15% 


Requisition #: 67936



The Role at a Glance

Lincoln Financial Network, Lincoln’s retail wealth management business operating through two dually-registered BD/RIAs is excited to bring on a AVP of RIA Compliance who will be responsible for the execution of the firm’s RIA compliance program. In this role, you lead a team of other RIA Compliance staff members. Key responsibilities include applying a broad knowledge of industry-related practices, concepts, and principles while working independently with applicable latitude for un-reviewed action or decisions.

What you'll be doing:

  • Manage a team and process for the RIA Compliance Team.
  • Provide subject matter expertise to team members and applicable internal/external stakeholders on complex assignments/projects for their assigned area(s) of responsibility.
  • Identify and direct strategic process improvements that significantly improve quality across the team, department and/or business unit for assigned area(s) of responsibility.
  • Direct/execute approved strategy decisions and contribute to strategy creation for assigned area(s) of responsibility.
  • Provide strategic direction to build and enhance the capability for their assigned area(s) of responsibility.
  • Lead the annual (and off cycle, if necessary) process to update the firm’s Form ADV Part 1 and ADV 2A
  • Provide direction and guidance to both firm personnel and field associates on investment advisory compliance issues
  • Draft annual 206(4)-7 Report
  • Execute the firm’s Code of Ethics policy in compliance with SEC Rule 204A-1
  • Execute the firm’s political contributions policy, in compliance with SEC Rule 206(4)-5
  • Execute regulatory filings (ADV, Form CRS, etc.)
  • Act as primary point of contact for the firm’s annual custody audit, in compliance with SEC Rule 206(4)-2
  • Monitor for new and/or updated rules/regulations and develop policies/procedures to comply.
  • Collaborate and act as the primary point of contact with the firm’s Regulatory Affairs team on all exams/audits/inquiries of the firm’s RIA business
  • Identify process improvements and strategies for execution to assist the CCO with achieving compliance objectives
  • Identify risks and conflicts of interest related to the firm’s business models
  • Maintain investment advisory compliance procedures
  • This role reports to the firm’s Chief Compliance Officer

What we're looking for:

  • 10+ years of securities industry experience.
  • Strong knowledge of the Investment Advisers Act of 1940, SEC rules and regulations and broad knowledge of securities products, advisory programs, services, arrangements and related regulatory requirements
  • Experience working with regulators preferred.
  • Strong knowledge of compliance risk management theories and applications.
  • Strong presentation skills with demonstrated ability to influence at all levels of management through clear, informed and logical discussions/presentations.
  • Demonstrates ability to communicate knowledgeably and credibly with field office personnel, senior management and internal constituents regarding sensitive or difficult situations.
  • Intermediate experience in identification, assessment, and communication of compliance risk within a large and complex environment.
  • Demonstrated ability to effectively balance compliance risks with business needs.
  • Must possess FINRA Series 7, 24 and 65 or 66


  • 4 Year/Bachelor's degree or equivalent work experience (4 years of experience in lieu of Bachelor's) - Minimum 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.


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