Lincoln Financial Group Jobs – Sr. Supervision Consultant

Website Lincoln Financial

Job Description:

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.

Job Responsibilities:

  • 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.

Job Requirements:

  • 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

Job Details:

Company: Lincoln Financial

Vacancy Type: Full Time

Job Location: Hartford, CT, US

Application Deadline: N/A

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