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Sr. Consultant, Product Compliance

Lincoln Financial Group Hartford, CT

Job Description

Alternate Locations:Concord, NH (New Hampshire); Dover, NH (New Hampshire); Greensboro, NC (North Carolina); Hartford, CT (Connecticut)

Relocation assistance is not available for this opportunity.

Requisition #57145

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 customers 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 Sr Product Compliance position will provide subject matter expertise and direction on primarily our MoneyGuard Long Term Care product. S/he will provide direction and design complex processes and plans related to the drafting, regulatory filing, and/or implementation of complex insurance forms and/or products for his/her assigned area(s). S/he will also conduct complex compliance reviews and risk analysis to monitor the effectiveness of compliance plans.



  • Advises & negotiates with internal & external Stakeholders to resolve complex issues relevant to securing approval &/or use of forms &/or rates, or to revise products or procedures for compliance with new laws.
  • Analyzes, reviews & develops complex remediation solutions for identified issues to ensure the ongoing compliance & appropriate accountability of internal Stakeholders & appropriate escalation of issues.
  • Collaborates with appropriate Stakeholders to ensure action plans capture & remediate the deficiencies found during reviews/audits for assigned area(s).
  • Communicates & may prepare complex compliance alerts &/or communications concerning new or updated compliance policies or industry rules & regulations.
  • Develops & performs complex compliance reviews & analysis to assess compliance with internal controls & regulatory requirements for his/her assigned area(s).
  • Develops complex processes to ensure internal controls & regulatory compliance & provides ongoing assessment of effectiveness.
  • Drafts &/or files all applicable forms &/or applications by identifying & complying with complex regulatory requirements within his/her assigned area(s).
  • Identifies complex risks & develops/recommends remediation plans.
  • May provide ongoing complex compliance review of all related marketing, product, service &/or sales materials.
  • Obtains input from mgmt as appropriate before making internal/external statements or providing information that could impact the corporation.
  • Participates in product & filing requirement complex discussions with Internal Stakeholders.
  • Performs complex analysis & communicates recommended changes as a result of new &/or revised State & Federal laws & regulations affecting for his/her assigned area(s).
  • Prepares complex responses to regulatory and audit inquiries for his/her assigned area(s).
  • Prepares, updates &/or files complex applicable compliance reports, forms, &/or contracts for his/her assigned area(s).
  • Provides direction/guidance & serves as compliance subject matter expert to internal/external Stakeholders on a broad variety of compliance matters/issues related to his/her assigned area.
  • Provides effective & open communication with internal/external Stakeholders to ensure transparency & consistency of compliance actions.


Education & Experience

  • 5- 7+ Years of experience in Compliance that directly aligns with the specific responsibilities for this position (Required)
  • 4 Year/Bachelors degree or equivalent work experience (4 years of experience in lieu of Bachelors) in (Minimum Required).
  • Individual Life Insurance industry experience desired.  Minimal travel  #LI-AY1




This position may be subject to Lincolns 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 Lincolns 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.

Job Details

Date Posted October 30, 2018
Date Closes November 29, 2018
Requisition 57145-en_US
Located In Hartford, CT
Department Compliance
SOC Category 00-0000.00