Specialist, Risk Management

Alternate Locations: Philadelphia, PA (Pennsylvania); Fort Wayne, IN (Indiana)

Work Arrangement:Hybrid/Home

Relocation assistance:is not available for this opportunity.

Hiring Manager: Robert Sweeney


Requisition #:67593

What you'll be doing

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.
Promotes and enhances organizational initiatives by positively influencing and supporting change management and/or departmental/enterprise
initiatives within assigned area(s) of responsibility.
Performs and delivers on routine assignments/projects while simultaneously leveraging and applying knowledge of their assigned area(s) of
Identifies and communicates to management process improvements that reduce workloads or improve quality for their assigned area(s) of
Reviews a variety of interactions (emails, text messages, etc.) and transactions between broker-dealer and clients to ensure activity remains in the
best interest of the client.
Identifies questionable situations of activity, requests rationales from broker-dealer, reviews feedback and poses follow-up questions as needed to
clarify any ambiguity.
Reviews of broker-dealer feedback/rationales and independently evaluates if activity complies with applicable SEC/FINRA regulations.
Seeks and identifies patterns of broker-dealer behavior/activity that may warrant in-depth review.
Reviews various Investment transactions that have occurred but have not received Principal approval prior to executing the transaction.
Maintains a list of Lincoln Advisors requiring Heightened supervision review and ensures 100% of emails for Advisors under Heightened Supervision
are reviewed.
Monitor the previous days emails reviewed by junior team members to ensure that targets are met and kept within compliance standards.
Monitors activity of advisors with a high concentration of transactions with C shares and reviews their past history.
Reviews activity related to charitable and retirement accounts to ensure appropriate share class expense waiver was provided to the client.
Ensures prospectuses were properly sent out by NFS to all necessary accounts.
Review attempts to identify accounts converted from brokerage to managed within a 12 month look back period.
Reviews text messages form Advisors and escalates findings based on criteria for business conduct, complaints, marketing, etc.
Assists with reporting and/or troubleshooting system issues as needed.
Identifies issues, areas of concern and/or potential risks, recommends solutions and/or process improvements to management and assists with
Maintains current knowledge and licenses on applicable new and/or updated rules/regulations.

What we're looking for

Undergraduate degree or 4+ years of comparable work experience. (Minimum Required)

1 - 3+ Years of surveillance experience that directly aligns with the specific responsibility for this position. (Required)


Series License-7 -Upon Hire

Series License-24 -Upon Hire

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

Work Arrangement

Hybrid/Home : Employees will work from home generally three days each week and come into a Lincoln office on a schedule their manager will help set, following any applicable in-office training period determined by their manager.

About The Company

Lincoln Financial Group, a Fortune 200 company with over 10,000 employees, provides advice and solutions that help empower Americans to take charge of their financial lives with confidence. Our core business areas - Life Insurance, Annuities, Retirement Plan Services and Group Protection - focus on supporting, preserving and enhancing over 17 million customer's lifestyles and retirement outcomes.

Headquartered in Radnor, Pennsylvania, Lincoln Financial Group is the marketing name for Lincoln National Corporation (NYSE: LNC) and its affiliates. The company had $324 billion in end-of-period account values as of June 30, 2021.

Ranked one of the Best Large Employers in America and Best Employers for Women by Forbes magazine as well as one of Newsweek's Most Responsible Companies, Lincoln Financial Group makes a serious investment in our employees' futures through a broad range of wealth accumulation and protection plans, health and wellness programs, and career development resources designed to help each individual reach their personal and professional goals.

Lincoln is committed to creating adiverse and inclusiveenvironment 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.

Lincoln Financial Group is a committed corporate citizen included on major sustainability indices including the Dow Jones Sustainability Index North America and FTSE4Good. Dedicated to diversity and inclusion, we earned perfect 100 percent scores on the Corporate Equality Index and the Disability Equality Index. Follow us on Facebook, Twitter, LinkedIn, and Instagram. Sign up for email alerts at http://newsroom.lfg.com

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/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 notices.

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