This listing was posted on Tip Top Job.
Supervision Consultant, Compliance
Location:
Radnor, PA
Description:
Alternate Locations: Radnor, PA (Pennsylvania); US All Regions; 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 :72982 The Role at a Glance As the Consultant, Supervision will act as a resource and consult on more complex supervision projects/initiatives for the sales and distribution organization. You will provide supervision consultations and support for selling registered representatives reporting to Lincolns home office providing supervisory principal responsibilities. What youll be doing Serves as a supervision resource to internal/external stakeholders on a broad variety of matters/issues related to their assigned area(s) or responsibility.Obtains input from management before making internal/external statements or providing information that could impact the corporation.Participates in more complex supervision projects for their assigned area(s).Collaborates with appropriate stakeholders to ensure action plans capture and remediate the deficiencies found during reviews/audits for assigned area(s) of responsibility.Responsible for supervisory visits and the proper enforcement of heightened supervision plans.Performs day:to:day supervisory business items and on:boarding.Supports recruited branch offices reporting to the broker dealers home office.Provides on:boarding support and training to new registered representatives affiliating with the Lincolns home office.Ensures that applicable broker dealer, investment advisors, and registered representatives compliance functions follow all rules, regulations, policies, and procedures.Conducts more complex broker dealer supervisory branch audits for home office and consults with Compliance on results.Acts as a resource to applicable internal/external stakeholders and shares best practices associated with the home office.Supports the oversight, detection, and prevention of violations of Lincoln procedures, Securities industry rules and regulations, and the execution of the surveillance program for Lincoln. What we're looking for Must:Haves3:5+ years of experience in compliance or supervision that directly aligns with specific responsibilities for this positionFINRA series license 6, 63 and L and H upon hireFINRA series license 26 or 24 within 120 day of hire.A demonstrated track record of consistently meeting and/or exceeding performance expectationsConfident, comfortable communicator with strong written and verbal communication skills.Strong presentation skills with demonstrated ability to influence at all levels of management through clear, informed and logical discussions/presentations.Ability to evaluate information and the implications of a course of action or solution.Ability to solve problems and deal with a variety of concrete variables in situations where only limited standardization exists.Ability to work with others in a team environment.Demonstrated ability to identify and recommend processes improvements.Demonstrated excellent organizational skills with the ability to prioritize workload and multi:task while maintaining strict attention to detail.Demonstrates advanced relationship management skills with internal clients (e.g. management, peers and colleagues) and external clients.Demonstrates strong interpersonal skills with a collaborative style.Proficiency with Microsoft Office Suite (Word, Excel, PowerPoint, Outlook).Successfully completes regulatory and job training requirements. 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 u
Industry:
Insurance
Posted:
April 5 on Tip Top Job
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More About this Listing: Supervision Consultant, Compliance
Supervision Consultant, Compliance is a Consulting Jobs Consultant Job located in Radnor PA. Find other listings like Supervision Consultant, Compliance by searching Oodle for Consulting Jobs Consultant Jobs.
Supervision Consultant, Compliance is a Consulting Jobs Consultant Job located in Radnor PA. Find other listings like Supervision Consultant, Compliance by searching Oodle for Consulting Jobs Consultant Jobs.