Compliance Analyst

April 11

🦌 Connecticut – Remote

Although this job is listed in Connecticut, this company may be open to hiring remote in other states.

🌾 Nebraska – Remote

Although this job is listed in Nebraska, this company may be open to hiring remote in other states.

+2 more states

🦌 Connecticut – Remote 🌾 Nebraska – Remote 🌲 North Carolina – Remote 🔔 Pennsylvania – Remote

💵 $69k - $124.6k / year

⏰ Full Time

🟡 Mid-level

🟠 Senior

🚔 Compliance

Apply Now

Receive Emails with Similar Jobs

Lincoln Financial

WebsiteLinkedInAll Job Openings

Lincoln Financial is an organization dedicated to protecting the privacy and security of its job applicants. It actively informs candidates about potential recruitment scams and outlines its robust hiring procedures, making clear that they do not request sensitive personal information during the application process. The company offers a diverse range of career opportunities across various fields including actuarial, finance, legal, and customer service, and is committed to maintaining equal employment opportunities.

Retirement Solutions • Life and Annuities • Group Protection

10,000+ employees

Founded 1905

💸 Finance

👥 HR Tech

📋 Description

• As a Compliance Analyst, you will conduct in-person and remote inspections of broker-dealer offices to examine the procedures and activities of the registered representatives, managers, and other broker-dealer personnel associated with each office, evaluating them for compliance with applicable company and industry rules and regulations. • This includes planning the visit, conducting the visit as a trusted advisor, and following up on outstanding issues found during the visit. • Schedule, plan, and prepare pre-inspections materials using various internal systems. • Review and research registered representative activities, including, but not limited to, non-cash compensation, social media presence, and outside business activities to identify issues and determine compliance with firm and regulatory rules and procedures. • Conduct inspections encompassing a review of wholesaling practices, recordkeeping, and adherence to compliance procedures. • Interview registered representatives, managers, and administrative personnel regarding office security procedures and business activities. • Prepare report findings of inspections and take follow-up action as necessary. • Respond to routine inquiries from internal personnel concerning compliance issues. • Remain familiar with current FINRA and state regulatory developments/trends as well as the broker dealer’s own written supervisory procedures. • Travel to field offices regularly (approximately 25% to 75% of travel, depending on regulatory guidance). • Interact with vendors providing audit resources. • Responsibly complete expense reports and other paperwork in a timely, accurate manner. • Maintains knowledge on current and emerging developments/trends for assigned area(s) of responsibility, assesses the impact, and collaborates with management to incorporate new trends and developments in current and future solutions. • Champions and enhances organizational initiatives by positively influencing and supporting change management and/or departmental/enterprise initiatives within assigned area(s) of responsibility.

🎯 Requirements

• 4 Year/Bachelor's degree or equivalent work experience (4 years of experience in lieu of Bachelor's) (Minimum Required) • 3-5 years of securities and/or insurance experience, with a preference for exposure to compliance matters. • Experience working with regulators preferred. • Basic knowledge of SEC and FINRA rules/regulations, State Insurance regulations and industry best practices. • Intermediate knowledge of compliance risk management theories and applications. • Intermediate general compliance knowledge and experience concerning federal, self- regulatory and state rules and regulatory requirements for the financial services industry. • Intermediate understanding of self-regulatory organizations within the financial services industry. • Basic working knowledge of variable annuities, variable life insurance and defined contribution programs.

🏖️ Benefits

• Clearly defined career tracks and job levels, along with associated behaviors for each Lincoln leadership Attribute. • Leadership development and virtual training opportunities • PTO/parental leave • Competitive 401K and employee benefits • 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