Posted 8 months ago  

Consultant, Compliance

Posted 8 months ago - 115 views - 7 Applied

Job Description

Headquartered in Radnor, Pennsylvania, Lincoln Financial Group is the marketing name for Lincoln National Corporation (NYSE: LNC) and its affiliates. The company had $238 billion in assets under management as of December 31, 2018.

Ranked one of the Best Large Employers in America by Forbes magazine, Lincoln Financial Group makes a serious investment in our employees’ futures through a broad range of wealth accumulation and protection plans, health and wellness programs, and career development resources designed to help each individual reach their personal and professional goals.

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.

The Role at a Glance

We’re excited to bring on a new Compliance Analyst to join our Registered Product Operations (RPO) team. This role will analyze and deliver the creation, updating, and filing of Variable Universal Life (VUL) and Variable Annuity (VA) Registration Statements with the Securities and Exchange Commission (SEC) and production of print-ready prospectuses. This role will develop and or apply technical skills within Arc Pro content management system in support of building out and maintaining summary prospectuses for VUL and VA Registration Statements.

What you’ll be doing:

  • Performs the preparation, updating and SEC filing of VA and VUL prospectuses for May 1 and off-cycle updates.
  • Develop and or apply technical skills within Arc Pro content management system in support of building out VUL and VA summary prospectuses. Assist with annual summary prospectus filing updates, including the analysis and recommendation of prospectus changes resulting from SEC rulings.
  • Supports execution of all VA and VUL fund updates.
  • Supports review process with external accounting firms.
  • Completes all work within SEC mandated or market driven timeframes.
  • Ability to read, analyze, and translate product design requirements into readable format for prospectus content.
  • Identifies and recommends process improvements that significantly improve quality across the RPO team.
  • Processes all updates in content management system in an accurate and timely manner for Legal review.

What we’re looking for:

  • 3 – 5+ Years experience in compliance working with either variable products or mutual funds. Prior experience with filing prospectuses with the SEC is preferred but not required.
  • Strong technical skills with the ability to adapt to new systems. Knowledge of content management systems, specifically Arc Pro, is preferred but not required.
  • Knowledge of SEC filing requirements and Registration Statements, specifically with 1933 and 1940 Acts.
  • Demonstrated initiative, organizational skills, and ability to perform under stress and with high volume work-loads during peak periods.
  • Knowledge of variable life and annuity products and mutual funds.
  • Ability to interpret and apply pragmatic approach to carry out a variety of instructions furnished in written, oral, or diagram form.
  • Ability to solve problems and deal with a variety of concrete variables in situations where only limited standardization exists.
  • Define problems, collect data, establish facts and draw valid conclusions.

Education and Certifications:

  • 4 Year/Bachelor’s degree or equivalent work experience (4 years of experience in lieu of Bachelor’s) (Minimum Required)
  • 180 Days Certifications/Licensures: (FINRA Series License-6)

Work Arrangement:

  • Work from Home : Employees will work fully from home. Their job will not require the employee to come into the office, unless for special circumstances.
  • 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, veterans status, or genetic information. Applicants are evaluated on the basis of job qualifications.
  • Alternate Locations: Atlanta, GA (Georgia); Baltimore, MD (Maryland); Boston, MA (Massachusetts); Charlotte, NC (North Carolina); Chicago, IL (Illinois); Cincinnati, OH (Ohio); Cleveland, OH (Ohio); Concord, NH (New Hampshire); Dover, NH (New Hampshire); Greensboro, NC (North Carolina); Hartford, CT (Connecticut); Omaha, NE (Nebraska); Philadelphia, PA (Pennsylvania); Radnor, PA (Pennsylvania); US Midwest; US Northeast; US Southeast