Surveillance Associate - LFD Central Supervision Team

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Date: Oct 23, 2024

Primary Location: Radnor, PA, US

Company: Lincoln Financial

Alternate Locations: Radnor, PA (Pennsylvania); Fort Wayne, IN (Indiana); Greensboro, NC (North Carolina); Hartford, CT (Connecticut)

Work Arrangement:

Hybrid/Flexible : Work at home and use the office as appropriate for in-person collaboration.

Relocation assistance: is not available for this opportunity.

Requisition #: 73834

The Role at a Glance

As the Surveillance Associate, you will perform and deliver on routine assignments and projects for the LFD Central Supervision Team. You will develop and execute surveillance reviews to ensure compliance with all guidelines and regulations.

What you'll be doing

Works with field management in order to resolve issues discovered in the review process
Provides trend reporting of violations and training opportunities suggestions to Supervisory Principal and management
Anticipates potential issues addressing changing needs and updated processes to meet regulatory industry standards.
Acts as system admin for applicable system(s) in their assigned business area(s)
Conducts basic surveillance reviews on Registered Representative Outside Brokerage account trade confirms and statements to ensure compliance with all internal policies and applicable industry regulations.
Evaluates possible solutions to basic surveillance problems while prioritizing and refining those solutions with management's direction and assistance.
Anticipates routine processes/systems issues that will require design to meet changing business needs or regulatory requirements
Escalates identified risks to management as needed.
Develops and maintains basic surveillance review documentation.
Participates and /or leads workstreams in surveillance projects
Provides effective and open communication with internal/external stakeholders to ensure transparency and consistency of surveillance and compliance actions.
Supports the preparation of responses to regulatory and audit inquiries for their assigned area(s).
Prepares, updates and/or files applicable surveillance and compliance reports, forms, and/or contracts for their assigned area(s).

What we’re looking for

Must-Haves:

4 Year Bachelor's degree or 4+ years of equivalent work experience
0 - 1+ Years experience in compliance or surveillance directly aligned with the responsibilities for this position (Required)
Demonstrates strong written and verbal communication skills.
Demonstrates excellent organizational skills with the ability to prioritize workload and multi-task while maintaining strict attention to detail.
Proficiency with Microsoft Office Suite (Word, Excel, PowerPoint, Outlook).
Successfully completes regulatory and job training requirements.

Application Deadline

Applications for this position will be accepted through November, 15, 2024, subject to earlier closure due to applicant volume.

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:

Clearly defined career tracks and job levels, along with associated behaviors for each Lincoln leadership Attribute.
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

The pay range for this position is $42,300 - $75,500 with anticipated pay for new hires between the minimum and midpoint of the range and could vary above and below the listed range as permitted by applicable law. Pay is based on non-discriminatory factors including but not limited to work experience, education, location, licensure requirements, proficiency and qualifications required for the role. The base pay is just one component of Lincoln’s total rewards package for employees. In addition, the role may be eligible for the Annual Incentive Program, which is discretionary and based on the performance of the company, business unit and individual. Other rewards may include long-term incentives, sales incentives and Lincoln’s standard benefits package.

About The Company

Lincoln Financial Group helps people to plan, protect and retire with confidence. As of Dec. 31, 2023, approximately 17 million customers trust our guidance and solutions across four core businesses – annuities, life insurance, group protection and retirement plan services. As of December 31, 2023, the company had $295 billion in end-of-period account balances, net of reinsurance. Headquartered in Radnor, Pa., Lincoln Financial Group is the marketing name for Lincoln National Corporation (NYSE: LNC) and its affiliates. Learn more at LincolnFinancial.com.

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.

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 or 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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