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Lincoln National Corporation

Associate, Suitability Compliance

Lincoln National Corporation - Fort Wayne, IN

Associate, Suitability Compliance

Lincoln Financial Group

Fort Wayne

IN

Job #672814746

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

Relocation assistance is not available for this opportunity.

Requisition #54082

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

The Suitability Associate

will perform basic suitability reviews, compliance reviews, and risk analysis to monitor the effectiveness of compliance plans.

Responsibilities

Conducts basic suitability reviews on new accounts and forms ensuring compliance with all internal procedures and applicable industry regulations.

Evaluates possible solutions to basic suitability problems while prioritizing and refining those solutions with management's direction and assistance.

Anticipates routine processes/systems that will require design to meet changing business needs or regulatory requirements.

Escalates identified risks to management as needed.

Develops and maintains basic compliance review documentation.

Participates in compliance projects for his/her assigned area(s).

Provides effective and open communication with internal/external stakeholders to ensure transparency and consistency of suitability and compliance actions.

Supports the preparation of responses to regulatory and audit inquiries for his/her assigned area(s).

Prepares, updates and/or files applicable suitability and compliance reports, forms, and/or contracts for his/her assigned area(s).

May provide ongoing basic suitability and compliance review of all related marketing, product, service, and/or sales materials.

May draft and/or file all applicable forms and/or applications by identifying and complying with regulatory requirements within for his/her assigned area(s).

Researches, compiles and reviews state laws and regulations using appropriate databases, the internet and other resources as assigned.

Supports and promotes change management and/or departmental/enterprise initiatives within assigned area(s) of responsibility.

Maintains knowledge on current and emerging developments/trends for assigned area(s) of responsibility.

Performs and delivers on routine assignments/projects for his/her assigned area(s) of responsibility.

Education

Undergraduate degree or 4 years work experience that directly aligns with the specific responsibilities for this position

Experience

0-1 Years of experience in compliance or suitability that directly aligns with the specific responsibilities for this position, more experience would be preferred.

Series 7 and 63 required, Series 6 desired

Ability to solve problems and deal with a variety of concrete variables in situations where only limited standardization exists.

Define problems, collect data, establish facts and draw valid conclusions.

Demonstrates ability to evaluate information and the implications of a course of action or solution.

Evaluate trends in data or information.

Ability to work with others in a team environment.

Demonstrated solid relationship management skills with internal clients (e.g. management, peers and colleagues).

Demonstrates excellent organizational skills with the ability to prioritize workload and multi-task while maintaining strict attention to detail.

Demonstrates strong interpersonal skills with a collaborative style.

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

Ability to read, analyze and interpret both internal and external documents such as general media/publications, professional journals, technical procedures, governmental regulations, policies, proposals, and standard operating procedures.

Demonstrates strong written and verbal communication skills.

Carries out duties in compliance with all state and federal regulations and guidelines. Complies with all company and site policies and procedures.

Makes a positive contribution as demonstrated by making suggestions for improvement and learning new skills, procedures and processes#LI-AY1

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 05/24/2018

23 days 12 hours ago

Lincoln National Corporation

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Associate, Suitability Compliance 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.