Job Information
Lincoln Financial Group Supervision Consultant, Compliance in Austin, Texas
Alternate Locations: Radnor, PA (Pennsylvania); US All Regions; Work from Home
Work Arrangement:
Remote : Work at home employee residing outside of a commutable distance to an office location.
Relocation assistance: is not available for this opportunity.
Requisition #: 72982
The Role at a Glance
As the Consultant, Supervision will act as a resource and consult on more complex supervision projects/initiatives for the sales and distribution organization. You will provide supervision consultations and support for selling registered representatives reporting to Lincoln's home office providing supervisory principal responsibilities.
What you'll be doing
Serves as a supervision resource to internal/external stakeholders on a broad variety of matters/issues related to their assigned area(s) or responsibility.
Obtains input from management before making internal/external statements or providing information that could impact the corporation.
Participates in more complex supervision projects for their assigned area(s).
Collaborates with appropriate stakeholders to ensure action plans capture and remediate the deficiencies found during reviews/audits for assigned area(s) of responsibility.
Responsible for supervisory visits and the proper enforcement of heightened supervision plans.
Performs day-to-day supervisory business items and on-boarding.
Supports recruited branch offices reporting to the broker dealer's home office.
Provides on-boarding support and training to new registered representatives affiliating with the Lincoln's home office.
Ensures that applicable broker dealer, investment advisors, and registered representatives' compliance functions follow all rules, regulations, policies, and procedures.
Conducts more complex broker dealer supervisory branch audits for home office and consults with Compliance on results.
Acts as a resource to applicable internal/external stakeholders and shares best practices associated with the home office.
Supports the oversight, detection, and prevention of violations of Lincoln procedures, Securities industry rules and regulations, and the execution of the surveillance program for Lincoln.
What we’re looking for
Must-Haves
3-5+ years of experience in compliance or supervision that directly aligns with specific responsibilities for this position
FINRA series license 6, 63 and L&H upon hire
FINRA series license 26 or 24 within 120 day of hire.
A demonstrated track record of consistently meeting and/or exceeding performance expectations
Confident, comfortable communicator with strong written and verbal communication skills.
Strong presentation skills with demonstrated ability to influence at all levels of management through clear, informed and logical discussions/presentations.
Ability to evaluate information and the implications of a course of action or solution.
Ability to solve problems and deal with a variety of concrete variables in situations where only limited standardization exists.
Ability to work with others in a team environment.
Demonstrated ability to identify and recommend processes improvements.
Demonstrated excellent organizational skills with the ability to prioritize workload and multi-task while maintaining strict attention to detail.
Demonstrates advanced relationship management skills with internal clients (e.g. management, peers and colleagues) and external clients.
Demonstrates strong interpersonal skills with a collaborative style.
Proficiency with Microsoft Office Suite (Word, Excel, PowerPoint, Outlook).
Successfully completes regulatory and job training requirements.
What’s it like to work here?
At Lincoln Financial Group, 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 levels to help you successfully manage your career
Leadership development and virtual training opportunities
PTO/parental leave
Competitive 401K and employee benefits (https://hrdirectdocs.lfg.com/misc/HR/Recruiting/BenefitsResourcesGuide.pdf)
Free financial counseling, health coaching and employee assistance program
Tuition assistance program
A leadership team that prioritizes your health and well-being; offering a remote work environment and flexible work hybrid situations
Effective productivity/technology tools and training
Pay Range: $67,000 - $120,700
Actual base pay could vary 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 Group helps people to plan, protect and retire with confidence. As of Dec. 31, 2023, approximately 17 million customers trust our guidance and solutions across four core businesses – annuities, life insurance, group protection and retirement plan services. As of December 31, 2023, the company had $295 billion in end-of-period account balances, net of reinsurance. Headquartered in Radnor, Pa., Lincoln Financial Group is the marketing name for Lincoln National Corporation (NYSE: LNC) and its affiliates. Learn more at LincolnFinancial.com.
Lincoln is committed to creating a diverse and inclusive (https://www.lfg.com/public/aboutus/companyoverview/diversityinclusion?audience_page_id=1422918942386) 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 (http://www.facebook.com/lincolnfinancialgroup) , X (https://mobile.twitter.com/lincolnfingroup) , LinkedIn (https://www.linkedin.com/company/4307?trkInfo=tas%3Alincoln+financial%2Cidx%3A3-1-3&trk=tyah) , and Instagram (https://www.instagram.com/lincolnfingroup/) . For the latest company news, visit our newsroom (https://www.lincolnfinancial.com/public/aboutus/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/candidate profiles submitted through our web site or to personal e-mail accounts of employees of Lincoln Financial Group are considered property of Lincoln Financial Group and are not subject to payment of agency fees.
Lincoln Financial Group (“LFG”) 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 (https://www.e-verify.gov) notices.
Este Empleador Participa en E-Verify. Ver el E-Verify (https://www.e-verify.gov/es) avisos.
Lincoln Financial Group ("LFG") 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, veterans status, or genetic information. Opportunities throughout LFG are available to employees and applicants and are evaluated on the basis of job qualifications. We have a drug free work environment and we perform pre-employment substance abuse testing.