Lincoln Financial Group Risk Manager - Surveillance & Suitability Teams in Bismarck, North Dakota
Alternate Locations: Fort Wayne, IN (Indiana); Philadelphia, PA (Pennsylvania); Work from Home
Hybrid/Flexible : Work at home and use the office as appropriate for in-person collaboration.
Relocation assistance: is not available for this opportunity.
Requisition #: 71343
The Role at a Glance
The Risk Manager manages a team and processes for Lincoln Financial network (LFN) Suitability & Surveillance Teams. This role will manage the development, implementation, and evaluation of more complex suitability compliance plans and/or programs. This position will also provide ongoing monitoring of assigned suitability compliance program effectiveness.
What you'll be doing
Monitoring an ever-changing regulatory environment to proactively partner with management to develop and implement new procedures and policies, in an effort to reduce enterprise risk.
Developing and ensuring team uses a consistent approach to suitability reviews, issues and/or concerns to determine similar solutions within appropriate risk levels to minimize the enterprise's exposure.
Leading the preparing, updating and/or filing of applicable suitability reports, forms, and procedures.
Managing the suitability review process and related compliance activities.
Managing a team of specialists responsible for reviewing fixed and index annuity policies and completing the suitability review process.
Continually assessing the effectiveness of suitability program/plan to ensure that it fully meets its obligations of general and specific compliance risks.
Managing, leading, and/or participating in more complex compliance projects.
Establishing and implementing individual and team priorities, performance goals and objectives to ensure completion of responsibility.
Providing training and development opportunities, including stretch assignments, for team members and gives honest and open feedback to aid in the development of talent.
Identifying and recommending process improvements that significantly reduce workloads or improve quality.
Carrying out duties in compliance with all state and federal regulations and guidelines. Complying with all company and site policies and procedures.
Performing other duties as required.
What we’re looking for
5+ Years of experience in compliance that directly aligns with the specific responsibilities for this position, including 2+ years of managerial, supervisory, and/or demonstrated leadership experience
4 Year/Bachelor's degree or equivalent work experience (4 years of experience in lieu of Bachelor's)
Confident, comfortable communicator with strong written and verbal communication skills.
FINRA Series License 7
FINRA Series License 24 – 90 days upon hire
Demonstrates ability to successfully hire, retain, develop, and coach staff via a culture of real-time performance feedback, with ability to build both technical and leadership skills.
Demonstrated ability to ensure workloads are appropriately balanced among team members.
Finds common ground and can gain collaboration among management, colleagues, and peers; can influence outcomes without directing or commanding.
Demonstrates ability to identify and recommend process improvements.
Demonstrates solid project management skills including, critical ability to coordinate and balance multiple projects in a time-sensitive environment, under pressure, and meeting deadlines.
Demonstrates excellent organizational skills with the ability to prioritize workload and multi-task while maintaining strict attention to detail.
Demonstrates the ability to use sound judgment and discretion regarding confidential information.
Proficiency with Microsoft Office Suite (Word, Excel, PowerPoint, Outlook).
- FINRA Series License 65/66, 4, And 53
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
Competitive 401K and employee benefits (https://hrdirectdocs.lfg.com/misc/HR/Recruiting/BenefitsResourcesGuide.pdf)
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
Pay Range: $65,700 - $118,300
Actual base pay could vary 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.
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 a diverse and inclusive (https://www.lfg.com/public/aboutus/companyoverview/diversityinclusion?audience_page_id=1422918942386) environment 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 (http://www.facebook.com/lincolnfinancialgroup) , Twitter (https://mobile.twitter.com/lincolnfingroup) , LinkedIn (https://www.linkedin.com/company/4307?trkInfo=tas%3Alincoln+financial%2Cidx%3A3-1-3&trk=tyah) , and Instagram (https://www.instagram.com/lincolnfingroup/) . 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 firstname.lastname@example.org if you encounter a recruiter or see a job opportunity that seems suspicious.
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 (https://www.e-verify.gov) notices.
Este Empleador Participa en E-Verify. Ver el E-Verify (https://www.e-verify.gov/es) avisos.
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.
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