3-5 years in the securities industry, particularly in compliance/supervision.
Knowledge of FINRA, SEC, MSRB, and ERISA regulations for broker/dealers and investment advisors.
Understanding of various securities and insurance products, like variable and fixed annuities.
Proficiency in Microsoft Office, particularly Word and Excel, plus basic PowerPoint skills.
Bachelor's degree or equivalent experience; relevant licenses (Series 7, 24, 53, and 66) required.
Responsibilities
Review Firm Exception Reports daily to identify compliance risks and report to leadership.
Collaborate with Compliance and other departments to ensure adherence to policies and procedures.
Help develop and enhance surveillance policies and controls.
Update procedural manuals and supervisory procedures as necessary.
Assist in creating and implementing new compliance memoranda.
Participate in special projects as required.
Benefits
Professional development opportunities in compliance and supervision.
Collaboration with experienced compliance professionals.
Engagement in ongoing training on industry regulations.
Possibility of contributing to policy development and procedural enhancements.
Full Job Description
Basic Function: The primary responsibility of this position is to provide surveillance of firm-wide sales practices to detect and prevent trends that fail to be in compliance with firm policies and procedures and/or may be "at risk" issues for the firm.
Responsibilities
Daily review of Firm Exception Reports and Tools to identify activity or trends that pose a heightened risk to the firm and provide notification/reporting to Vice President of Supervision and/or Chief Compliance Officer when matter may be material.
Work with the Compliance Department, Designated Supervisors, Financial Professionals and Home Office Employees on the education, communication and enforcement of Lincoln's policies and procedures.
Contribute to the development and improvement of surveillance policies, procedures, and controls.
Other tasks as needed which may include but are not limited to:
Contribute to the update of procedural manuals or written supervisory procedures as needed.
Assist in the creation and/or implementation of new DS/FP Compliance Memorandums as needed.
Work on special projects as needed.
Skills
Ability to gather and analyze data to identify activity or trends that pose a risk to the firm and bring these matters to supervisor's attention.
Aptitude to assess a situation and make a decision on how to move forward.
Ability to keep accurate records.
Capacity to work independently.
Excellent oral and written communication skills.
Organizational and time management skills (e.g., ability to effectively manage multiple priorities).
Ability to conduct oneself in a diplomatic and professional manner.
Offer creative solutions to issues.
Project management capabilities.
Exceptional attention to detail.
Knowledge/Experience
Three to five years of experience in the securities industry (preferably in compliance and/or supervision).
Working knowledge of FINRA, SEC, MSRB and ERISA rules & regulations as they apply to both broker/dealers and registered investment advisors.
Thorough understanding of securities products, insurance products (including variable annuities, equity indexed annuities and fixed annuities) and investment advisory programs.
Extensive word processing (Word) and spreadsheet (Excel) experience in Windows environment, presentation (PowerPoint) knowledge.
Education/Training
Bachelor's degree in a related field or the equivalent combination of education and/or experience
Certification/Licenses
Series 7, Series 24, Series 53, and Series 66 (or equivalent, i.e. Series 63 & Series 65) licenses required.
Series 9/10 preferable.
Series 4 helpful but not required.
Physical and Other Requirements
May sit at workstation for extended periods of time
May view computer screen for extended periods of time
Periods of fast pace are normal particularly when working to meet deadlines
