Compliance Specialist - LFN Registration (898048800A0)
Alternate Locations: Philadelphia, PA (Pennsylvania); Fort Wayne, IN (Indiana)
Work Arrangement: Hybrid/Home
Relocation assistance: is not available for this opportunity.
Requisition #: 69656
The Role at a Glance
As a Compliance Specialist for LFN Registration, you will perform and deliver on routine assignments/projects while simultaneously leveraging and applying knowledge of your assigned area(s) of responsibility. In this role, you will develop and execute compliance plans for your assigned area(s) of responsibility. Additionally, you will also conduct compliance reviews and risk analysis to monitor the effectiveness of compliance plans.What you'll be doing
• Developing and performing compliance reviews and analysis to assess compliance with internal controls and regulatory requirements.
• Researching, reviewing, and approving individuals for affiliation with the firm pursuant to company affiliation guidelines.
• Identifying and communicating risks to management.
• Escalating identified risks to management as needed.
• Developing and maintaining compliance review documentation.
• Managing, conducting and/or participating in compliance projects for your assigned area(s).
• Providing effective and open communication with internal/external stakeholders to ensure transparency and consistency of compliance actions.
• Preparing responses to regulatory and audit inquiries for your assigned area(s).
• Obtaining input from management as appropriate before making internal/external statements or providing information that could impact the corporation.
• Preparing, updating and/or filing applicable compliance reports, forms, and/or contracts for your assigned area(s).
• Performing analysis and communicates recommended changes as a result of new and/or revised State and Federal laws and regulations.
• Drafting, and/or filing all applicable forms and/or applications by identifying and complying with regulatory requirements.
• Researching, compiling, and reviewing state laws and regulations using appropriate databases, the internet, and other resources as assigned.
• Carrying out duties in compliance with all state and federal regulations and guidelines. Complying with all company and site policies and procedures.
• Remaining current in profession and industry trends.
• Performing other duties as required.
- 1 - 3+ Years of experience in Compliance that directly aligns with the specific responsibilities for this position
- Bachelor's degree or equivalent work experience (4 years of experience in lieu of Bachelor's)
- FINRA Series 7
- Confident, comfortable communicator with strong written and verbal communication skills.
- Demonstrated solid relationship management skills with internal clients (e.g. management, peers, and colleagues).
- Demonstrates excellent organizational skills with the ability to prioritize workload and multi-task while maintaining strict attention to detail.
- Demonstrates solid project management skills including, critical ability to coordinate and balance multiple projects in a time-sensitive environment, under pressure, and meeting deadlines.
- Demonstrates strong interpersonal skills with a collaborative style.
- Demonstrates the ability to use sound judgment and discretion regarding confidential information.
- Proficiency with Microsoft Office Suite (Word, Excel, PowerPoint, Outlook).
- FINRA Series 24
- FINRA Series 63
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
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
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 [Register to View] 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 [Register to View] , [Register to View] , [Register to View] , and [Register to View] . Sign up for email alerts at [Register to View]
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 [Register to View] if you encounter a recruiter or see a job opportunity that seems suspicious.
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 [Register to View] .
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