Posted: Sunday, March 4, 2018 2:42 PM
Alternate Locations: Hartford, CT (Connecticut)
Relocation assistance is not available for this opportunity.
About the Company
Lincoln Financial Group provides advice and solutions that help empower people to take charge of their financial lives with confidence and optimism. Today, more than 17 million customers trust our retirement, insurance and wealth protection expertise to help address their lifestyle, savings and income goals, as well as to guard against long:term care expenses. Headquartered in Radnor, Pennsylvania, Lincoln Financial Group is the marketing name for Lincoln National Corporation (NYSE: LNC) and its affiliates.
The Compliance Consultant is to ensure compliance with SEC and state insurance laws/regulations with respect to individual life and annuity products and processes. S/he will review of state laws and regulations and provide guidance to operational business partners on regulatory impact to products and processes. She will actively participate as a consultant on new life and annuity product initiatives by providing regulatory guidance and advising on compliance risk. S/he will be expected to draft and maintain written documentation, interact with business partners, and maintain subject matter expertise for assigned products and processes to help ensure Lincoln's compliance with relevant regulatory requirements.
:Read and interpret State and Federal laws/regulations and determine impact on Lincoln's products and operational processes;
:Serve as subject matter expert with respect to assigned compliance topics and projects;
:Provide guidance to operations and product business partners on regulatory requirements;
:Monitor regulatory changes related to assigned products and compliance topics;
:Communicate with impacted business areas on regulatory requirements;
:Maintain written documentation of compliance activities;
:Assist and advise impacted business areas undertaking program changes based on new or changing regulations;
:Review business communications, contracts, and newsletters and advise on regulatory requirements;
:Develop understanding of operational structure and processes in order to support business partners;
:Support regulatory market conduct examinations by gathering information, reports, and data requested by regulators in a timely and accurate manner;
:Leverage internal and external technology and resources to create more effective and efficient processes;
:Develop and draft written policies and procedures as needed;
:Audit and review processes and procedures as needed.
:Provide guidance on new product development and implementation work groups as a compliance subject matter expert.
:Collaborate with business unit areas to conduct risk analyses and to help identify process improvements to achieve compliance goals;.
:Independently conduct and collaborate with business unit partners by documenting findings appropriately and recommending next steps to both the team and to leaders within the affected business.
:Build and develop positive relationships with leaders and business partners in Lincoln's major product and operational areas;
:Maintain professional and effective relationships with state and federal market conduct representatives.
:Undergraduate Degree or 4+ years of comparable work experience
:Series 6 and Series 26 (or within 180 days of hire)
:3:5+ years of experience that aligns with the specific responsibilities for the position
:Excellent written and verbal presentation skills.
:Excellent analytical skills and detail orientation.
:Ability to think critically and independently.
:Ability to work efficiently with limited direct oversight.
:Ability to collaborate in a team environment.
:Ability to Independently carry out all tasks
• Location: Hartford
• Post ID: 23088332 connecticut