Sunday , September 24 2023

Lincoln Financial Group Careers – RIA Compliance

Website Lincoln Financial

Job Description:

Lincoln Financial Network, Lincoln’s retail wealth management business operating through two dually-registered BD/RIAs is excited to bring on a AVP of RIA Compliance who will be responsible for the execution of the firm’s RIA compliance program.

Job Responsibilities:

  • Collaborate and act as the primary point of contact with the firm’s Regulatory Affairs team on all exams/audits/inquiries of the firm’s RIA business
  • Execute the firm’s Code of Ethics policy in compliance with SEC Rule 204A-1
  • Identify process improvements and strategies for execution to assist the CCO with achieving compliance objectives
  • Execute the firm’s political contributions policy, in compliance with SEC Rule 206(4)-5
  • Act as primary point of contact for the firm’s annual custody audit, in compliance with SEC Rule 206(4)-2
  • Monitor for new and/or updated rules/regulations and develop policies/procedures to comply.

Job Requirements:

  • Experience working with regulators preferred.
  • Strong knowledge of the Investment Advisers Act of 1940, SEC rules and regulations and broad knowledge of securities products, advisory
  • programs, services, arrangements and related regulatory requirements
  • Strong knowledge of compliance risk management theories and applications.
  • 10+ years of securities industry experience.

Qualification & Experience:

  • 4 Year/Bachelor’s degree or equivalent work experience (4 years of experience in lieu of Bachelor’s) – Minimum Required

Job Details:

Company:  Lincoln Financial

Vacancy Type:  Full Time

Job Location:  Radnor, PA, US

Application Deadline: N/A

Apply Here