Lincoln Job Openings – Governance and Controls Unit

Website Lincoln Financial

Job Description:

The Governance and Controls Unit was set up two years ago to ensure that firm policies and procedures are clear, complete and executed. We have an opening in the group to review and reconsider how LFN meets our regulatory, compliance and operational responsibilities.

Job Responsibilities:

  • Assist in the creation, review, and implementation of firm policies
  • Influence key business leaders to modify policies, protocols, and execution as needed
  • Identify issues with obsolete or improper policies
  • Assist in escalated issues from retail representatives and compliance staff around policies, procedures, and execution
  • Develop relationships with industry contacts for appropriate processes and procedures within the financial services space

Job Requirements:

  • Proven skill in building strong relationships with field partners and business units
  • Self-motivated and documented record of project ownership * Strong organizational skills, attention to detail
  • Knowledge of securities products and regulation with emphasis on load mutual funds, variable insurance products, advisory programs, and brokerage accounts.

Qualification & Experience:

  • College Degree and/or equivalent amount of work experience
  • Superior writing skills
  • 2-5 + years of securities operations and/or compliance experience
  • FINRA Series 7, 24 required or obtained within first six months of hire *
  • Previous experience with broker-dealer compliance or operations

Job Details:

Company:  Lincoln Financial

Vacancy Type:  Full Time

Job Location: Hartford, CT, US

Application Deadline: N/A

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