Senior Compliance Advisor - RIA

Senior Compliance Advisor RIA

Lincoln Investment recognized as one of Philadelphia's top workplaces for fifteen years, is an independent broker dealer and registered investment advisor that offers brokerage, investment advisory and other financial services. Lincoln has over 1,000 financial advisors nationwide and we serve over 350,000 clients representing over $36 billion in assets. We are a majority family-owned financial services firm that regards our employees as integral players in our continuous growth. Lincoln Investment's success is built upon our dedication to helping people retire well and promoting a work environment that fosters success. Our financial strength and profitability are natural results of "helping people, having fun, and enjoying success." Lincoln Investment offers a competitive compensation and benefits package. Our Home Office is conveniently located in Fort Washington, PA, just outside of Philadelphia.

Basic Function

The Senior Compliance Advisor RIA will assist with compliance functions relating to our investment advisory business. The individual will work closely with the Director, RIA Compliance on a day-to-day basis. The individual should have a foundational knowledge along with an eagerness to learn more compliance responsibilities of SEC-registered RIAs.

Responsibilities

• Support internal/external business associates on investment advisory compliance issues.
• Data management, including the collection, analysis and testing of results.
• Identify, compile, track and categorize data for internal use, regulatory reporting, examinations and audits; assist with responding to regulatory requests, including preparation of documents/data and responding to inquiries during regulatory audits.
• Support day-to-day maintenance of the firm's Code of Ethics and its implementation, including for Access Persons; maintaining restricted lists, trade monitoring and implementation of preclearance policies; monitor pay-to-play and other state/local political contributions and identify items for further review/escalation.
• Participate in the review and vetting of advisor discretionary authorization requests, identifying items for further review/escalation as needed.
• Identify, prioritize, and elevate risks related to managed accounts, third party relationships, or general conflicts of interest.
• Assist senior personnel, as needed, with special assignments. Support departmental and corporate projects and initiatives as requested.
• Meet day to day workflow, including ad hoc requests/issues that arise during the course of business.
• Provide compliance guidance and respond to questions from financial representatives, team members, and across the organization regarding rules and firm policies relating to the broker-dealer and investment advisory business.
• Help supervise the management of the firm's Code of Ethics
• Assist with monitoring compliance with laws, rules, and regulations
• Coordinate and help oversee the development, implementation and enforcement of policies, procedures, and programs to minimize risk
• Assist with regulatory filings and amendments (Annual and Other than Annual Amendments) to Form ADV, Form 13F and Form 13H
• Research and resolve issues, provide recommendations, and escalate to senior management as needed
• All other duties as assigned

Qualifications/Requirements

• 3-8 years of investment advisory experience with direct or indirect exposure to compliance.
• Foundational knowledge of the Investment Advisers Act, SEC rules and regulations.
• Proficiency in MS Office (Word, Excel, PowerPoint). Exposure to Microsoft Access helpful.
• Attention to detail, with the ability to analyze data, identify trends and escalate matters appropriately.
• Critical thinking skills and curiosity. Excellent independent follow-up skills.
• Strong written and oral communication skills; customer service oriented.
• Organizational and time management skills; ability to multitask.
• Experience with SunGard PTA or other personal trading programs, as well as AS/400 computer systems a plus, but not required.
• Series 7, 24 and 66 preferred. (Successful candidates who do not possess a Series 7, 24 and/or 65/66 registration at time of hire will have twelve (12) months to obtain registrations).
• Bachelor's degree

Physical/Other Requirements

• May sit at workstation for extended periods of time.
• May view computer screen for extended periods of time.
• Periods of fast pace are normal particularly when working to meet deadlines.

Lincoln Investment is an equal opportunity employer. Lincoln Investment prohibits discrimination and harassment of any type and affords equal employment opportunities to employees and applicants without regard to race, color, religion, sex, sexual orientation, gender identity or expression, pregnancy, age, national origin, disability status, genetic information, protected veteran status, or any other characteristic protected by law. Lincoln Investment conforms to the spirit as well as to the letter of all applicable laws and regulations.