AVP, Compliance Management - Deputy CCO - Retail DistributionLincoln National Corporation - Fort Wayne, IN
AVP, Compliance Management - Deputy CCO - Retail Distribution
Lincoln Financial Group
Alternate Locations: Fort Wayne, IN (Indiana); Philadelphia, PA (Pennsylvania)
Relocation assistance is not available for this opportunity.
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.
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).
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 LFNâ€™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 enterpriseâ€™s exposure
4 Year/Bachelor's degree or equivalent work experience (4 years of experience in lieu of Bachelor's)
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 Lincolnâ€™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 Lincolnâ€™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 (â€œLFGâ€) 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.
25 days 7 hours ago
applyAVP, Compliance Management - Deputy CCO - Retail Distribution Lincoln National Corporation - Fort Wayne, IN, United States
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.
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