Alternate Locations: Radnor, PA (Pennsylvania)
Work Arrangement:
Hybrid/Common Days+ : Work 2-3 days a week in a Lincoln office with a designated workspace.
Relocation assistance: is not available for this opportunity.
Requisition #: 74515
The Role at a Glance
The Role at a Glance
The Compliance Consultant, Funds Management role is responsible for supporting Lincoln’s Funds Management business team by implementing and maintaining complex compliance programs for Lincoln Variable Insurance Products Trust (LVIP), Lincoln Retail Alternatives Funds (Alts Funds), Lincoln Financial Investments Corporation (LFI), and Lincoln National Life’s managed separate accounts. The Funds Management compliance team primarily oversees compliance with federal securities regulations relating to these companies/accounts and many supporting service providers including investment sub-advisors, principal underwriters, administrators, transfer agents, consultants, and others. Additionally, the Compliance Consultant is responsible for effective implementation of these compliance programs, with emphasis on policies and procedure testing and service provider oversight, while supporting all duties and responsibilities of Funds Management.
What you'll be doing
What you'll be doing
DUTIES AND RESPONSIBILITIES
Develops and performs compliance reviews and analysis to assess compliance with policies and procedures and regulatory requirements for LVIP, Alts Funds, LFI and its sub-advisers. Supports quarterly and annual testing of compliance policies and procedures to ensure effective implementation, documents results, and develops action plans for remediation of findings. Collaborates with appropriate stakeholders to ensure action plans capture and remediate the issues found during testing. Supports periodic review of all compliance policies and procedures and related updates. Supports LVIP’s, Alts Funds’, and LFI’s risk management programs by performing risk assessments, recommending risk scores, and maintaining risk inventories. Leads the tracking of service providers’ compliance policies and procedures, communicated through quarterly compliance questionaries or otherwise, and updates policies and procedures inventories in a timely manner. Coordinates the review of sub-advisers’ control reports, summarizes findings, and maintains a calendar to ensure timely receipt and review. Supports the administration of LVIP’s, Alts Funds’, and LFI ‘s Code of Ethics programs including analysis of securities transactions and maintenance of required statements for those individuals subject to the Code. Prepares monthly, quarterly, and annual compliance reports to business partners and LVIP/Alts Funds/LFI Board of Trustees/Directors. Establish and maintain effective relationships with business partners and service providers. Collaborates with colleagues on compliance projects as assigned. Identifies and recommends process improvements that may reduce workloads or improve quality for assigned area(s) of responsibility. Champions and enhances organizational initiatives by positively influencing and supporting change management and/or departmental/enterprise initiatives. Serves as a resource and consults with internal/external stakeholders on a broad variety of compliance matters/issues related to assigned area(s) or responsibility. Obtains input from management as appropriate before making internal/external statements or providing information that could impact the corporation. Provides effective and open communication with internal/external stakeholders to ensure transparency and consistency of compliance actions.
ADDITIONAL POSITION RESPONSIBILITIES
Carries out duties in compliance with all state and federal regulations and guidelines. Complies with all company and site policies and procedures. Remains current in profession and industry trends. Makes a positive contribution as demonstrated by: - Making suggestions for improvement - Learning new skills, procedures, and processes.
What we're looking for
EDUCATION AND EXPERIENCE
4 Year/Bachelor's degree or equivalent work experience (4 years of experience in lieu of Bachelor's) (Minimum Required) 3 - 5+ Years experience in compliance that directly aligns with the specific responsibilities for this position (Required) Occasional domestic travel as neededApplication Deadline
Applications for this position will be accepted through May 30th, subject to earlier closure due to applicant volume.
What’s it like to work here?
At Lincoln Financial, we love what we do. We make meaningful contributions each and every day to empower our customers to take charge of their lives. Working alongside dedicated and talented colleagues, we build fulfilling careers and stronger communities through a company that values our unique perspectives, insights and contributions and invests in programs that empower each of us to take charge of our own future.
What’s in it for you:
Clearly defined career tracks and job levels, along with associated behaviors for each of Lincoln's core values and leadership attributes
Leadership development and virtual training opportunities
PTO/parental leave
Competitive 401K and employee benefits
Free financial counseling, health coaching and employee assistance program
Tuition assistance program
Work arrangements that work for you
Effective productivity/technology tools and training
The pay range for this position is $69,000 - $124,600 with anticipated pay for new hires between the minimum and midpoint of the range and could vary above and below the listed range as permitted by applicable law. Pay is based on non-discriminatory factors including but not limited to work experience, education, location, licensure requirements, proficiency and qualifications required for the role. The base pay is just one component of Lincoln’s total rewards package for employees. In addition, the role may be eligible for the Annual Incentive Program, which is discretionary and based on the performance of the company, business unit and individual. Other rewards may include long-term incentives, sales incentives and Lincoln’s standard benefits package.
About The Company
Lincoln Financial (NYSE: LNC) helps people to confidently plan for their version of a successful future. We focus on identifying a clear path to financial security, with products including annuities, life insurance, group protection, and retirement plan services.
With our 120-year track record of expertise and integrity, millions of customers trust our solutions and service to help put their goals in reach.
Lincoln Financial Distributors, a broker-dealer, is the wholesale distribution organization of Lincoln Financial. Lincoln Financial is the marketing name for Lincoln Financial Corporation and its affiliates including The Lincoln National Life Insurance Company, Fort Wayne, IN, and Lincoln Life & Annuity Company of New York, Syracuse, NY. Lincoln Financial affiliates, their distributors, and their respective employees, representatives and/or insurance agents do not provide tax, accounting or legal advice.
Lincoln is committed to creating a diverse and inclusive environment and is proud to be an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, gender, gender identity or expression, sexual orientation, national origin, genetics, disability, age, or veteran status.
Follow us on Facebook, X, LinkedIn, Instagram, and YouTube. For the latest company news, visit our newsroom.
Be Aware of Fraudulent Recruiting Activities
If you are interested in a career at Lincoln, we encourage you to review our current openings and apply on our website. Lincoln values the privacy and security of every applicant and urges all applicants to diligently protect their sensitive personal information from scams targeting job seekers. These scams can take many forms including fake employment applications, bogus interviews and falsified offer letters.
Lincoln will not ask applicants to provide their social security numbers, date of birth, bank account information or other sensitive information in job applications. Additionally, our recruiters do not communicate with applicants through free e-mail accounts (Gmail, Yahoo, Hotmail) or conduct interviews utilizing video chat rooms. We will never ask applicants to provide payment during the hiring process or extend an offer without conducting a phone, live video or in-person interview. Please contact Lincoln's fraud team at fraudhotline@lfg.com if you encounter a recruiter or see a job opportunity that seems suspicious.
Additional Information
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.
Any unsolicited resumes or candidate profiles submitted through our web site or to personal e-mail accounts of employees of Lincoln Financial are considered property of Lincoln Financial and are not subject to payment of agency fees.
Lincoln Financial 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, Veteran 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 260-455-2558.
This Employer Participates in E-Verify. See the E-Verify notices.
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