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Lincoln National Corporation

AVP, Compliance Management - Deputy CCO - Retail Distribution

Lincoln National Corporation - Fort Wayne, IN

AVP, Compliance Management - Deputy CCO - Retail Distribution

Lincoln Financial Group

Fort Wayne

IN

Job #673422777

Alternate Locations: Fort Wayne, IN (Indiana); Philadelphia, PA (Pennsylvania)

Relocation assistance is not available for this opportunity.

Requisition #54321

About the Company

Lincoln Financial Group provides advice and solutions that help empower people to take charge of their financial lives with confidence and optimism. Today, more than 17 million customers trust our retirement, insurance and wealth protection expertise to help address their lifestyle, savings and income goals, as well as to guard against long-term care expenses. Headquartered in Radnor, Pennsylvania, Lincoln Financial Group is the marketing name for Lincoln National Corporation (NYSE: LNC) and its affiliates.

The Role

This position provides leadership, direction and functional expertise to strategically develop and implement compliance policies, procedures and controls for his/her assigned area(s) of responsibility. S/he will provide subject matter expertise and direction to ensure departmental results for his/her assigned area(s).

Responsibilities

Reports directly to the LFN Chief Compliance Officer

Heads the LFN Compliance National Examination Program Team

Oversight and handling of all FINRA broker-dealer cycle and SEC routine broker-dealer and investment adviser examinations of LFA and LFS, including interfacing with regulators (both the SEC and FINRA), responding to information requests, participating in home office and branch examinations and responding to exit and examination reports

Drafting and amendment of all LFN Compliance policies and procedures

Annual LFA and LFS 3120 and 3130 Reports

Drafting of Compliance presentations and participating in such presentations at LFN national, regional and local meetings

Partners effectively with all stakeholders, including LFN home office and field leadership, LFN registered representative organizations such as The Resource Group, the LFS Advisory Board and the Premier Partners Advisory Council, members of the LFN and LFD Legal/Compliance Departments and the Legal Department

Develops and maintains collaborative relationships with FINRA and the SEC

Embraces our trusted advisor, strategic partner, collaborative, risk-based and solutions-oriented philosophy

Strong and effective managerial skills - delegates to and empowers direct reports

Maintains knowledge on current and emerging developments/trends for assigned area(s) of responsibility, assesses the impact, and collaborates with the CCO, members of LFN Compliance and senior management to proactively incorporate new trends and developments in current and future strategies

Leads the preparing, updating and/or filing of applicable compliance reports/forms for his/her assigned area(s) of responsibility

Directs and oversees the annual budget including, but not limited to: developing the annual budget in collaboration with senior management; analyzing and monitoring of monthly expenses and resulting variances; and preparing detailed variance analysis and reports to senior management

Serves in a compliance advisory and/or coordination capacity on various governance committees for the enterprise

Directs the assessment and enhancement of existing compliance policies, procedures and controls to ensure that they fully satisfy LFN’s obligations to identify and mitigate general and specific compliance risks within his/her assigned area(s) of responsibility

Informs the CCO and senior management that LFN Compliance policies, procedures and controls comply with applicable regulatory requirements pertaining to general compliance issues for his/her assigned area(s) of responsibility

Develops a strategic and consistent approach to compliance reviews, issues and/or concerns to determine similar solutions within appropriate risk levels to minimize the enterprise’s exposure

Requirements

Education

4 Year/Bachelor's degree or equivalent work experience (4 years of experience in lieu of Bachelor's)

Experience

10 Years in Compliance and/or related legal compliance experience that directly aligns with the specific responsibilities for this position

3 years of managerial, supervisory, and/or demonstrated leadership experience including influencing Sr Management/critical stakeholders experience

Demonstrated ability to identify, develop and implement processes improvements.

Demonstrated ability to successfully hire, retain, develop and coach staff via a culture of real-time performance feedback, with ability to build both technical and leadership skills.

Demonstrated strong relationship management skills with internal clients (e.g. senior management, peers and colleagues); proven ability to develop creative and collaborative approaches.

Demonstrates strong interpersonal skills with a collaborative style.

Demonstrates strong project management leadership skills including, critical ability to coordinate and balance multiple projects in a time-sensitive environment, under pressure, and meeting deadlines.

Finds common ground and can gain collaboration among senior management, colleagues and peers; can influence outcomes without directing or commanding.

Proficiency with Microsoft Office Suite (Word, Excel, PowerPoint, Outlook).

Successfully completes regulatory and job training requirements.#LI-CG1

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.

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 ~~~.

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.

Updated 05/29/2018

25 days 7 hours ago

Lincoln National Corporation

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AVP, Compliance Management - Deputy CCO - Retail Distribution Lincoln National Corporation - Fort Wayne, IN, United States

   

Location: Fort Wayne, IN

Company Profile:
Founded in 1905 with the endorsement of Abraham Lincoln’s son, Robert Todd Lincoln, Lincoln Financial Group is the first and only company to carry Abraham Lincoln’s name, image and ideals at the heart of our brand. For more than a century, we’ve advanced President Lincoln’s inclusive vision and values by building an honest, dependable financial services company. We're dedicated to helping Americans secure better, more optimistic futures for themselves and their loved ones.