Manager, Compliance

Alternate Locations: Radnor, PA (Pennsylvania); Atlanta, GA (Georgia); Boston, MA (Massachusetts); Fort Wayne, IN (Indiana); Greensboro, NC (North Carolina); Hartford, CT (Connecticut); Omaha, NE (Nebraska)
Work Arrangement: Work from Home
Relocation assistance:: is not available for this opportunity.
Pay Range: $63,100 - $137,900
Bonus Potential: 10%
Requisition #: 68081
The Role at a Glance
As a Compliance Manager you will manage a team of examiners that conduct audits of broker-dealer/RIA field offices. These audits examine the procedures and activities of the office, the financial professionals , OSJ managers and other firm personnel associated with each office, evaluating them for compliance with applicable company and industry rules and regulations. You may also manage the support team responsible for scheduling, reviewing and remediating audits, including those responsible for the audit management software. What you'll be doing:

• Manage processes including developing the inspection schedule for the year, the actual scheduling process including appointment setting, and clearing and finalizing inspections.
• Manage the implementation, maintenance and upgrades, if any, to the audit management software system.
• Manage a team of employees to conduct effective and efficient audits of field locations of Lincoln Financial Network’s two retail BD/RIA firms and Lincoln Financial Distributors, the firm’s wholesale BD as assigned, including pre-work, onsite inspections, and post work.
• Collaborating in development of inspection practices and procedures, including development of inspection questions and test steps.
• Managing record maintenance and reporting functions.
• Conduct branch inspections as the lead auditor or support, on an as-needed basis
• Be a point person for field managers with questions regarding the audit process or individual findings.
• Identifies and recommends process improvements that significantly reduce workloads or improve quality across for his/her assigned area(s) of responsibility.
• Serves as a resource to team members and internal/external stakeholders on more complex assignments/projects for his/her assigned area(s) of responsibility.
• Ensures that top talent is hired and retained for his/her assigned area(s) of responsibility.
• Provides training and development opportunities, including stretch assignments, for team members and gives honest and open feedback to aid in the development of talent.

What we're looking for:

• Undergraduate Degree or 4+ years of comparable work experience
• FINRA Series 7 and 24
• 5-7 years of securities and/or insurance experience, with a preference for exposure to compliance matters.
• Experience working with regulators preferred.
• Knowledge of SEC and FINRA rules/regulations, state insurance regulations and industry best practices.
• Intermediate knowledge of compliance risk management theories and applications.
• Basic working knowledge of variable annuities, variable life insurance and defined contribution programs.
• Strong 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 experience in identification, assessment, and communication of compliance risk within a large and complex environment.
• Demonstrated strong relationship management skills with internal clients (e.g. senior management, peers and colleagues) and external clients (registered representatives, broker dealer management personnel); proven ability to develop creative and collaborative approaches.
• Demonstrates strong interpersonal skills with collaborative style.

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
• PTO/parental leave
• 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 ArrangementWork from Home : Employees will work fully from home. Their job will not require the employee to come into the office, unless for special circumstances.
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 CompanyLincoln 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 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 ActivitiesIf 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 fraudhotline@lfg.com if you encounter a recruiter or see a job opportunity that seems suspicious.
Additional InformationThis 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 260-455-2558.
This Employer Participates in E-Verify. See the E-Verify notices.Este Empleador Participa en E-Verify. Ver el E-Verify avisos.

Nearest Major Market: Philadelphia