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Specialist, Compliance

Lincoln Financial Group Philadelphia, PA
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Job Description

Alternate Locations:Philadelphia, PA (Pennsylvania)

Relocation assistance is not available for this opportunity.

Requisition #59034

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 $238 billion in assets under management as of December 31, 2018.

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.

GENERAL PURPOSE OF JOB

This position will perform and deliver on routine assignments/projects while simultaneously leveraging and applying knowledge of his/her assigned area(s) of responsibility. S/he will develop and execute compliance plans for his/her assigned area(s) of responsibility. S/he will also conduct compliance reviews and risk analysis to monitor the effectiveness of compliance plans.

 

DUTIES AND RESPONSIBILITIES

  • Maintains knowledge on current and emerging developments/trends for assigned area(s) of responsibility, assesses the impact, and collaborates with management to incorporate new trends and developments in current and future solutions.
  • Promotes and enhances organizational initiatives by positively influencing and supporting change management and/or departmental/enterprise initiatives within assigned area(s) of responsibility.
  • Performs and delivers on routine assignments/projects while simultaneously leveraging and applying knowledge of his/her assigned area(s) of responsibility.
  • Identifies and communicates to management process improvements that reduce workloads or improve quality for his/her assigned area(s) of responsibility.
  • Develops and performs compliance reviews and analysis to assess compliance with internal controls and regulatory requirements for his/her assigned area(s) of responsibility.
  • Identifies and communicates risks to management.
  • Escalates identified risks to management as needed.
  • Develops and maintains compliance review documentation.
  • Manages, conducts and/or participates in compliance projects for his/her assigned area(s).
  • Provides effective and open communication with internal/external stakeholders to ensure transparency and consistency of compliance actions.
  • Prepares responses to regulatory and audit inquiries for his/her assigned area(s).
  • Obtains input from management as appropriate before making internal/external statements or providing information that could impact the corporation.
  • Prepares, updates and/or files applicable compliance reports, forms, and/or contracts for his/her assigned area(s).
  • May provide ongoing compliance review of all related marketing, product, service, and/or sales materials.
  • Performs analysis and communicates recommended changes as a result of new and/or revised State and Federal laws and regulations affecting for his/her assigned area(s).
  • May draft, and/or file all applicable forms and/or applications by identifying and complying with regulatory requirements within for his/her assigned area(s).
  • Participates in product and filing requirement discussions with Internal Stakeholders.
  • Researches, compiles, and reviews state laws and regulations using appropriate databases, the internet, and other resources as assigned.

 

ADDITIONAL POSITION RESPONSIBILITIES

  • Carries out duties in compliance with all state and federal regulations and guidelines.  Complies with all company and site policies and procedures.
  • Remains current in profession and industry trends.
  • Makes a positive contribution as demonstrated by:  - Making suggestions for improvement - Learning new skills, procedures and processes
  • Performs other duties as required.

 

EDUCATION AND EXPERIENCE

  • 4 Year/Bachelors degree or equivalent work experience (4 years of experience in lieu of Bachelors) (Minimum Required)
  • 1 - 3+ Years experience in compliance that directly aligns with the specific responsibilities for this position (Required)
  • FINRA series 7 & series 24 (Required)

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.

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Job Details

Date Posted March 16, 2019
Date Closes April 15, 2019
Requisition 59034-en_US
Located In Philadelphia, PA
Department Legal & Compliance
SOC Category 00-0000.00
Location