Website Lincoln Financial
As a Sr. Supervision Consultant, you will provide subject matter expertise and direction on complex supervisory issues and projects/initiatives for Lincoln’s Field staff and Home Office employees. You will provide supervisory direction and design complex plans for Lincoln’s Field staff and Home Office employees.
- Preparing complex responses for audit inquiries.
- Obtaining input from management as appropriate before making internal/external statements or providing information that could impact the corporation.
- Managing, conducting and/or participating in complex projects.
- Communicating and preparing complex communications concerning new or updated policies or industry rules and regulations.
- Preparing complex responses to regulatory inquiries.
- Preparing, updating and/or filing applicable complex reports, forms, and/or contracts.
- Providing ongoing complex review of all related marketing, product, service, and/or sales materials.
- Collaborating with appropriate stakeholders to ensure action plans capture and remediate the deficiencies found during reviews/audits.
- Identifying complex risks and developing/recommending remediation plans.
- Analyzing, reviewing, and developing complex remediation solutions for identified issues to ensure appropriate accountability of internal stakeholders and appropriate escalation of issues.
- Providing effective and open communication with internal/external stakeholders to ensure transparency and consistency of compliance actions.
- Problem solving skills
- Certifications/licensures: Series License-7, Series License-24, Series License-63
- 5 – 7+ Years of experience in compliance that directly aligns with supervision of financial professionals and their staff.
- Relationship building expertise
- Certification/licensure one year upon hire: Series License-65, Series License-66
- 4 Year/Bachelor’s degree or equivalent work experience (4 years of experience in lieu of Bachelor’s)
- Ability to read, analyze and interpret both internal and external documents such as general media/publications, professional journals, technical procedures, governmental regulations, policies, proposals, and standard operating procedures.
- Conflict resolution experience
- Strong oral and written communication skills
Company: Lincoln Financial
Vacancy Type: Full Time
Job Location: Hartford, CT, US
Application Deadline: N/A