Website Lincoln Financial
This position will act as a resource and consult on more complex supervision projects/initiatives for their assigned area(s) of responsibility. They will provide supervision consultations and support for selling registered representatives and non-supervisory branch offices reporting to Lincoln’s home office.
- Identifies and recommends process improvements that significantly reduce workloads or improve quality for his/her assigned area(s) of responsibility.
- Serves as a supervision resource to internal/external stakeholders on a broad variety of matters/issues related to his/her assigned area(s) or responsibility.
- Obtains input from management before making internal/external statements or providing information that could impact the corporation.
- 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.
- Supports recruited branch offices reporting to the broker dealer’s home office OSJ direct recruited model.
- Consults/Analyze on more complex assignments and/or projects for his/her assigned area(s) of responsibility.
- Participates in more complex supervision projects for his/her assigned area(s).
- Provides on-boarding support and training to new registered representatives affiliating with the LFS home office OSJ direct report model.
- Serves as a resource to team members and applicable internal/external stakeholders on more complex assignments/projects for his/her assigned area(s) of responsibility.
- Responsible for supervisory visits and the proper enforcement of heightened supervision plans.
- Champions and enhances organizational initiatives by positively influencing and supporting change management and/or departmental/enterprise initiatives within assigned area(s) of responsibility.
- Collaborates with appropriate stakeholders to ensure action plans capture and remediate the deficiencies found during reviews/audits for assigned area(s) of responsibility.
- Performs day-to-day supervisory business items and on-boarding.
- Series License-7 -Upon Hire
- Series License-66 -Upon Hire
- 3 – 5+ Years experience in compliance that directly aligns with the specific responsibilities for this position (Required)
- 4 Year/Bachelor’s degree or equivalent work experience (4 years of experience in lieu of Bachelor’s) (Minimum Required)
- Series License-24 -Upon Hire
Company: Lincoln Financial
Vacancy Type: Full Time
Job Location: Hartford, CT, US
Application Deadline: N/A