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Alternate Locations: Charlotte, NC (North Carolina); Fort Wayne, IN (Indiana); Greensboro, NC (North Carolina); Hartford, CT (Connecticut); Omaha, NE (Nebraska); Radnor, PA (Pennsylvania); Work from Home

Work Arrangement

Remote : Work at home employee residing outside of a commutable distance to an office location.

Relocation assistance: is not available for this opportunity.

Requisition #: 74445

The Role at a Glance

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.

What You'll Be Doing

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.
Serves as a resource to team members and applicable internal/external stakeholders on more complex assignments/projects for their assigned area(s) of responsibility.
Identifies and recommends process improvements that significantly reduce workloads or improve quality for their assigned area(s) of responsibility.
Consults/Analyze on more complex assignments and/or projects for their assigned area(s) of responsibility.

Must-haves

What we’re looking for

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.

Travel Requirements

Travel Type: Regional Domestic
Travel to field offices regularly (approximately 25% to 75% of travel, depending on regulatory guidance).

Certifications

Must possess FINRA Series 6 or Series 7 or acquire within 90 days of hire

Nice-to-haves

Demonstrated strong relationship management skills with internal clients (e.g. management, peers and colleagues); proven ability to develop collaborative approaches.
Demonstrates ability to identify and recommend process improvements.
Demonstrates excellent organizational skills with the ability to prioritize workload and multi-task while maintaining strict attention to detail.
Demonstrates the ability to use sound judgment and discretion regarding confidential information.
Finds common ground and can gain collaboration among management, colleagues and peers; can influence outcomes without directing or commanding.
Proficiency with Microsoft Office Suite (Word, Excel, PowerPoint, Outlook).

Application Deadline

Applications for this position will be accepted through June 15th, 2025 subject to earlier closure due to applicant volume.

What’s it like to work here?

At Lincoln Financial Group, we love what we do. We make meaningful contributions each and every day to empower our customers to take charge of their lives. Working alongside dedicated and talented colleagues, we build fulfilling careers and stronger communities through a company that values our unique perspectives, insights and contributions and invests in programs that empower each of us to take charge of our own future.

What’s In It For You

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 (https://hrdirectdocs.lfg.com/misc/HR/Recruiting/BenefitsResourcesGuide.pdf)
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

The pay range for this position is $69,000 - $124,600 with anticipated pay for new hires between the minimum and midpoint of the range and could vary above and below the listed range as permitted by applicable law. Pay is based on non-discriminatory factors including but not limited to work experience, education, location, licensure requirements, proficiency and qualifications required for the role. The base pay is just one component of Lincoln’s total rewards package for employees. In addition, the role may be eligible for the Annual Incentive Program, which is discretionary and based on the performance of the company, business unit and individual. Other rewards may include long-term incentives, sales incentives and Lincoln’s standard benefits package.

About The Company

Lincoln Financial Group helps people to plan, protect and retire with confidence. As of Dec. 31, 2023, approximately 17 million customers trust our guidance and solutions across four core businesses – annuities, life insurance, group protection and retirement plan services. As of December 31, 2023, the company had $295 billion in end-of-period account balances, net of reinsurance. Headquartered in Radnor, Pa., Lincoln Financial Group is the marketing name for Lincoln National Corporation (NYSE: LNC) and its affiliates. Learn more at LincolnFinancial.com.

Lincoln is committed to creating a diverse and inclusive (https://www.lfg.com/public/aboutus/companyoverview/diversityinclusion?audience_page_id=1422918942386) environment and is proud to be an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, gender, gender identity or expression, sexual orientation, national origin, genetics, disability, age, or veteran status.

Follow us on Facebook (http://www.facebook.com/lincolnfinancialgroup) , X (https://mobile.twitter.com/lincolnfingroup) , LinkedIn (https://www.linkedin.com/company/4307?trkInfo=tas%3Alincoln+financial%2Cidx%3A3-1-3&trk=tyah) , and Instagram (https://www.instagram.com/lincolnfingroup/) . For the latest company news, visit our newsroom (https://www.lincolnfinancial.com/public/aboutus/newsroom) .

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. Please contact Lincoln's fraud team at fraudhotline@lfg.com if you encounter a recruiter or see a job opportunity that seems suspicious.

Additional Information

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 or 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, Veteran status, or genetic information. Applicants are evaluated on the basis of job qualifications. If you are a person with a disability that impedes your ability to express your interest for a position through our online application process, or require TTY/TDD assistance, contact us by calling 260-455-2558.

This Employer Participates in E-Verify. See the E-Verify (https://www.e-verify.gov) notices.

Este Empleador Participa en E-Verify. Ver el E-Verify (https://www.e-verify.gov/es) avisos.

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. Opportunities throughout LFG are available to employees and applicants and are evaluated on the basis of job qualifications. We have a drug free work environment and we perform pre-employment substance abuse testing.

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