Broker-Dealer Suitability Specialist

Alternate Locations: Work from Home; Fort Wayne, IN (Indiana); Greensboro, NC (North Carolina); Radnor, PA (Pennsylvania)

 

 Work Arrangement:

Hybrid/Flexible : Work at home and use the office as appropriate for in-person collaboration.

 

Relocation assistance:  is not available for this opportunity.

 

Requisition #: 72771

 

The Role at a Glance

We are excited to bring on a Suitability Specialist to join our Broker-Dealer Risk Management Team, supporting Lincoln Financial Network in a work from home environment.
Background details
As the Suitability Specialist for our Broker-Dealer Risk Management team, you will assist in providing subject matter expertise and direction on routine risk issues and projects/initiatives for Lincoln Financial Network (LFN). You will also conduct routine reviews and risk analysis to monitor the effectiveness of plans. If this sounds like a role for you, please read on! 
 

What you'll be doing

•    Identifies, communicates, and escalates risks to management as needed.
•    Develops and maintains review documentation.
•    Manages, conducts and/or participates in projects for LFN.
•    Prepares responses to regulatory and/or audit inquiries.
•    Obtains input from management as appropriate before making internal/external statements or providing information that could impact the corporation.
•    Prepares, updates, and/or files applicable compliance reports, forms, and/or contracts.
•    May provide ongoing risk review of all related marketing, product, service and/or sales materials.
•    Performs analysis and communicates recommended changes as a result of new and/or revised State and Federal laws and regulations affecting LFN.
•    Researches, compiles, and reviews state laws and regulations using appropriate databases, the internet, and other resources as assigned.
•    Carries out duties in compliance with all state and federal regulations and guidelines. Complies with all company and site policies and procedures.
•    Performs other duties as required.
 

What we’re looking for

Must haves experience (required):
•    4 Year/Bachelor's degree or equivalent work experience (4 years of experience in lieu of Bachelor's)
•    1 - 3+ Years of experience in financial services that directly aligns with the specific responsibilities for this position
•    FINRA Series 7, FINRA Series 24 and FINRA Series 63 license at the time of hire
•    Strong written and verbal communication skills.
•    Ability to work with others in a team environment; Demonstrates strong interpersonal skills with a collaborative style.  
•    Demonstrates excellent organizational skills with the ability to prioritize workload and multi-task while maintaining strict attention to detail.  
•    Demonstrates solid project management skills including, critical ability to coordinate and balance multiple projects in a time-sensitive environment, under pressure, and meeting deadlines. 
•    Demonstrates the ability to use sound judgment and discretion regarding confidential information. 
•    Proficiency with Microsoft Office Suite (Word, Excel, PowerPoint, Outlook). 
 
Nice to have experience (preferred):
•    FINRA Series 4, 53, 65 and/or 66 licenses - business will support continuing education/licensing
•    Risk Management experience

 

 

#LI-Remote

 

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:

• A clearly defined career framework to help you successfully manage your career

• 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

 

Pay Range: $63,500 - $80,500 

 

Actual base pay could vary based on non-discriminatory factors including but not limited to work experience, educat