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
