Job: Compliance Manager

Jobing Description

Lincoln Financial Group is a diversified financial services organization with a strong focus on four core business areas - life insurance, annuities, defined contribution, and group protection; and three distribution platforms - wholesale, retail, and worksite. Since 1905, Lincoln Financial has helped customers face their futures with confidence by offering trusted financial solutions and advice. Lincoln Financial Group is the marketing name for Lincoln National Corporation (NYSE: LNC) and its affiliates.

Lincoln Financial is looking for a Compliance Manager to join the Team in our Concord, NH location.

Lincoln Financial Network Compliance is seeking a qualified principal to support its retail Field partners with day-to-day compliance issues as a Regional Director of Compliance. Independently provides compliance support to assigned LFA and LFS Field offices and performs required reviews/surveillance as part of the broker/dealers' ongoing supervision and risk management efforts. After thorough investigation, addresses associated persons' infractions of rules, policies, and procedures through disciplinary actions.

Responsibilities:

* Resolves compliance questions and issues arising daily in LFN Field offices.
* Conducts technical review of required, Field associates' reporting.
* Analyzes results of various surveillance activities.
* Investigates rule/policy infractions for possible disciplinary action.
* Documents investigations and resulting decisions.
* Presents cases for consideration of disciplinary action.
* Effectuates decisions on disciplinary action cases.
* Actively contributes to the RDC team for consistency of action and information.
* Supports internal clients on compliance-related topics.
* Prepares compliance training materials.
* Conducts compliance training.

Additional Responsibilities:

* Participates in LFN Compliance and Broker/Dealer initiatives/special projects.
* Facilitates compliance calls, meetings, and focus groups.
* 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 and learning new skills, procedures and processes.
* Performs other duties as required.

Job Requirements

Qualification:

* Bachelors Degree required.
* Five years' of experience in a registered principal role in the securities industry required.
* Series 7 & 24 License required.

Technical Skills:

* Thorough understanding of FINRA and SEC rules and regulations.

Other Skills and Abilities:

* Broad securities compliance experience with some Field interaction preferred.
* Ability to develop and maintain working relationships in difficult situations.
* Computer skills: Microsoft Office Suite (Word, Excel, PowerPoint, & Outlook); Enter data into computer using software applications for data entry and word processing; proficient with e-mail systems.
* Successfully completes regulatory and job training requirements.
* Ability to perform under stress in cases of emergency, critical or hazardous situations.
* Ability to work with others in a team environment.
* The position will include moderate travel generally to offices within assigned territory, Company-sponsored Field-oriented meetings or LFN Compliance Department meetings.

This position can be located in the Concord, NH, Hartford, CT or Fort Wayne, IN.

Lincoln Financial Network is a Gold Partner with Women in Insurance and Financial Services

Additional Details

How To Apply

Only on-line applications will be considered.

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. Opportunities throughout LFG are available to employees and applicants and are evaluated on the basis of job qualifications. We have a drug free work environment and we perform pre-employment substance abuse testing.

Lincoln Financial Group is the marketing name for Lincoln National Corporation and its affiliates.

Lincoln Shared Values: Integrity, Commitment to Excellence, Responsibility, Respect, Fairness, Diversity, Employee Ownership.

Lincoln Affiliates Corporate-Legal/Comp
Corporate-Legal/Comp
2nd Location Concord, NH
Concord - NH