This job opportunity is no longer available.
This page has been archived for your
reference. You can try to continue to this position on the employer's website
or try a new search. Inquiries related
to this position should be directed to the employer.
Description
Lincoln Financial Group is a diversified financial services organization with a strong focus on four core business areas - life insurance, annuities, defined contribution, and group protection; and three distribution platforms - wholesale, retail, and worksite. Since 1905, Lincoln Financial has helped customers face their futures with confidence by offering trusted financial solutions and advice. Lincoln Financial Group is the marketing name for Lincoln National Corporation (NYSE: LNC) and its affiliates.
Lincoln Financial is looking for a Trade Desk & Service Team Leader to join the Team in our Concord location.
RESPONSIBILITY SUMMARY:
This position is responsible for the daily operational oversight of the Investment Services Phone Queue and LFS Trade Desk. Candidate will execute transactions in accordance with SEC, FINRA, MSRB, OCC and broker/dealer rules and regulations. Position will be responsible for administering our clearing firm relationships as well as internal relationships with all departments within the broker/dealer.
ESSENTIAL FUNCTIONS OF JOB:
* Performs oversight and leadership of staff and operations. Prioritizes individual workflow and directs team workflow. Monitor staff/representative interactions to ensure continuity in the application of Investment Services and Trade procedures.
* Support Trade/Service Representatives in day to day functions. Serves as informational resource for Investment Services and broker/dealer units.
* Implements binding decisions which could potentially have a financial impact on the broker-dealer. Utilizes discretion to accomplish goals outside standard operating procedures.
* Provide field force with timely and accurate information related to all publicly traded securities, brokerage accounts, and broker/dealer products.
* Executes investment transactions in accordance with FINRA, SEC, MSRB, OCC and broker/dealer regulations and guidelines.
* Acts in principal capacity in oversight of Trade Desk and asset movement functions.
* Administer relationships with all operational and administrative areas of clearing firms including but not limited to margin, money desk, corporate actions, account transfers, settlement, clearance, custody, trading, systems access, and retirement accounts. Develop and nurture relationships with account managers and key personnel.
* Collaborate with all departments of the broker/dealer in the service of our field force and the oversight of our accounts.
* Analyze industry changes and determine impact on operational procedures and regulatory monitoring/reporting. Perform audits to ensure adherence to SEC, FINRA, MSRB, OCC and broker/dealer rules and regulations.
* Mitigate risk by enforcing the policies and procedures as defined in the Compliance & Supervisory Procedures Manual.
* Invest in the development of the work force through ongoing education, training, and opportunities for continuing growth.
* Perform/launch special projects as assigned by management.
* Monitors and reconciles firm operating accounts on a daily basis.
* Participates/presents in unit and departmental meetings/training sessions. Participates/presents at broker/dealer development forums. Represents Investment Services in operational meetings at the request of other broker/dealer units.
* Other duties as assigned based on volume and/or business needs.
BUSINESS MEASURES AND ACCOUNTABILITY:
* Members of the Investment Services Phone Queue and/or Trade Desk report directly to the Team Leader.
* Assists management in the formulation and maintenance of operating policies and/or procedures for unit, department, and broker/dealer.
Position Description is essentially a snapshot of a job. The position is subject to change over time based on business needs, market conditions, technology, etc. Employees are encouraged to continue to acquire the skills needed to remain competitive in the constantly changing business environment.
Job Requirements
QUALIFICATIONS (EDUCATION, EXPERIENCE, SPECIAL SKILLS):
* College degree or equivalent work experience.
* Must be customer focused and able to promote a service oriented environment.
* Must be able to communicate effectively with management and team members both verbally and in written communications.
* Must be able to handle difficult and complex situations with team members, other broker/dealer units, clearing firm, field force, and product sponsors.
* Must be able to work in a high volume, high stress environment.
* FINRA Series 7, 63, and 24 licenses required.
* FINRA Series 53 and 4 licenses will be necessary to proceed to the next level; LFS will sponsor for future advancement.
Lincoln Financial Network is a Gold Partner with Women in Insurance and Financial Services
Additional Details
How To Apply
Only on-line applications will be considered.
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.
Lincoln Financial Group is the marketing name for Lincoln National Corporation and its affiliates.
Lincoln Shared Values: Integrity, Commitment to Excellence, Responsibility, Respect, Fairness, Diversity, Employee Ownership.
Lincoln Affiliates Lincoln Financial Network
Lincoln Financial Network
2nd Location
If you apply to one of Lincolns positions, please be sure to indicate that you heard about the job on GettingHired.com.
Details:
Job Id:
26584703
Posted / Updated:
3/20/2012 3:45:02 AM
Map
Careers & Community for Talented People with Disabilities