Compliance Consultant, Funds Management

What you'll be doing

DUTIES AND RESPONSIBILITIES

• Develops and performs compliance reviews and analysis to assess compliance with policies and procedures and regulatory requirements for LVIP, Alts Funds, LFI and its sub-advisers.
• Supports quarterly and annual testing of compliance policies and procedures to ensure effective implementation, documents results, and develops action plans for remediation of findings.
• Collaborates with appropriate stakeholders to ensure action plans capture and remediate the issues found during testing.
• Supports periodic review of all compliance policies and procedures and related updates.
• Supports LVIP’s, Alts Funds’, and LFI’s risk management programs by performing risk assessments, recommending risk scores, and maintaining risk inventories.
• Leads the tracking of service providers’ compliance policies and procedures, communicated through quarterly compliance questionaries or otherwise, and updates policies and procedures inventories in a timely manner.
• Coordinates the review of sub-advisers’ control reports, summarizes findings, and maintains a calendar to ensure timely receipt and review.
• Supports the administration of LVIP’s, Alts Funds’, and LFI ‘s Code of Ethics programs including analysis of securities transactions and maintenance of required statements for those individuals subject to the Code.
• Prepares monthly, quarterly, and annual compliance reports to business partners and LVIP / Alts Funds / LFI Board of Trustees / Directors.
• Establish and maintain effective relationships with business partners and service providers.
• Collaborates with colleagues on compliance projects as assigned.
• Identifies and recommends process improvements that may reduce workloads or improve quality for assigned area(s) of responsibility.
• Champions and enhances organizational initiatives by positively influencing and supporting change management and / or departmental / enterprise initiatives.
• Serves as a resource and consults with internal / external stakeholders on a broad variety of compliance matters / issues related to assigned area(s) or responsibility.
• Obtains input from management as appropriate before making internal / external statements or providing information that could impact the corporation.
• Provides effective and open communication with internal / external stakeholders to ensure transparency and consistency of compliance actions.

ADDITIONAL POSITION RESPONSIBILITIES

What we’re looking for

What we're looking for

EDUCATION AND EXPERIENCE

Application Deadline

Applications for this position will be accepted through May 30th, subject to earlier closure due to applicant volume.

What’s it like to work here? At Lincoln Financial, 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 of Lincoln's core values and leadership attributes

Leadership development and virtual training opportunities

PTO / parental leave

Free financial counseling, health coaching and employee assistance program

Tuition assistance program

Work arrangements that work for you

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.