Website Lincoln Financial
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.
- 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.
- 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
Company: Lincoln Financial
Vacancy Type: Full Time
Job Location: Radnor, PA, US
Application Deadline: N/A