Alternate Locations: Work from Home
Work Arrangement: Work from Home
Relocation assistance:: is not available for this opportunity.
Pay Range: $63100 – $137900
Bonus Potential: 5%
Requisition #: 69875
We are excited to bring on a Compliance Analyst to join our LFG distribution compliance team. This person would be responsible for reviewing and inspecting office activities including but now limited to client files securities transactions correspondence (electronic and hard copy) to identify issues and determine compliance with firm and regulatory rules and procedures.
Research and Reporting
- Review and inspect office activities including but not limited to client files securities transactions correspondence (electronic and hard copy) cybersecurity practices to identify issues and determine compliance with firm and regulatory rules and procedures.
- Conduct field visits encompassing a review of sales practices recordkeeping and adherence to compliance procedures.
- Interview registered representatives managers and administrative personnel regarding office procedures and activities.
- Prepare report findings of office visits and take follow-up action as necessary.
Travel to Field Offices (approximately 25% to 75%)
- FINRA and State Regulatory Compliance
- Respond to routine inquiries from internal personnel concerning compliance issues.
- Remain familiar with current FINRA and state regulatory issues as well as the broker dealer’s own written supervisory procedures.
- Travel to field offices regularly (approximately 25% to 75% of travel).
- Interact with vendors providing audit resources.
- Responsibly complete expense reports and other paperwork in a timely accurate manner.
- 4 Year/Bachelor’s degree or equivalent work experience (4 years of experience in lieu of Bachelor’s) (Minimum Required)
- Basic knowledge of SEC and FINRA rules/regulations State Insurance regulations and industry best practices.
- Knowledge of compliance risk management theories and applications.
- Understanding of self-regulatory organizations within the financial services industry.
- Basic working knowledge of securities variable insurance and pension programs.
- Ability to effectively balance compliance risks with business needs.
- Project management skills including critical ability to coordinate and balance multiple tasks in a time sensitive environment under pressure and meeting deadlines.
- 3-5 years of securities and/or insurance experience with a preference for exposure to compliance matters.
- Experience working with regulators preferred.
- Presentation skills with demonstrated ability to influence at all levels of management through clear informed and logical discussions/presentations.
- Demonstrates ability to communicate knowledgeably and credibly with field office personnel senior management and internal constituents regarding sensitive or difficult situations
- Intermediate general compliance knowledge and experience concerning federal self- regulatory and state rules and regulatory requirements for the financial services industry.
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
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
Work from Home : Employees will work from home and are not required to work in a Lincoln office on a regular basis.
Lincoln will evaluate the following when setting the successful candidate’s wage rate:
- Prior work or industry experience.
- Education level to the extent education is relevant to the position.
- Unique skills
About The Company
Lincoln Financial Group a Fortune 200 company with over 10000 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 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.
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 Facebook Twitter LinkedIn and Instagram. Sign up for email alerts at http://newsroom.lfg.com
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 email@example.com 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
This Employer Participates in E-Verify. See the E-Verify notices.
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Nearest Major Market: Fort Wayne