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Broker-Dealer Suitability Specialist

In Wiltz United States

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Broker-Dealer Suitability Specialist   

JOB TITLE:

Broker-Dealer Suitability Specialist

JOB TYPE:

Full-time

JOB LOCATION:

Madison Wiltz United States

JOB DESCRIPTION:

Alternate Locations: Work from Home; Fort Wayne, IN (Indiana); Greensboro, NC (North Carolina); Radnor, PA (Pennsylvania) Work Arrangement: Hybrid/Flexible : Work at home and use the office as appropriate for in-person collaboration.
Relocation assistance: is not available for this opportunity.
Requisition #: 72771 The Role at a Glance We are excited to bring on a Suitability Specialist to join our Broker-Dealer Risk Management Team, supporting Lincoln Financial Network in a work from home environment.
Background details As the Suitability Specialist for our Broker-Dealer Risk Management team, you will assist in providing subject matter expertise and direction on routine risk issues and projects/initiatives for Lincoln Financial Network (LFN).
You will also conduct routine reviews and risk analysis to monitor the effectiveness of plans.
If this sounds like a role for you, please read on! What you'll be doing Identifies, communicates, and escalates risks to management as needed.
Develops and maintains review documentation.
Manages, conducts and/or participates in projects for LFN.
Prepares responses to regulatory and/or audit inquiries.
Obtains input from management as appropriate before making internal/external statements or providing information that could impact the corporation.
Prepares, updates, and/or files applicable compliance reports, forms, and/or contracts.
May provide ongoing risk review of all related marketing, product, service and/or sales materials.
Performs analysis and communicates recommended changes as a result of new and/or revised State and Federal laws and regulations affecting LFN.
Researches, compiles, and reviews state laws and regulations using appropriate databases, the internet, and other resources as assigned.
Carries out duties in compliance with all state and federal regulations and guidelines.
Complies with all company and site policies and procedures.
Performs other duties as required.
What were looking for Must haves experience (required): 4 Year/Bachelor's degree or equivalent work experience (4 years of experience in lieu of Bachelor's) 1 - 3+ Years of experience in financial services that directly aligns with the specific responsibilities for this position FINRA Series 7, FINRA Series 24 and FINRA Series 63 license at the time of hire Strong written and verbal communication skills.
Ability to work with others in a team environment; Demonstrates strong interpersonal skills with a collaborative style.
Demonstrates excellent organizational skills with the ability to prioritize workload and multi-task while maintaining strict attention to detail.
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 the ability to use sound judgment and discretion regarding confidential information.
Proficiency with Microsoft Office Suite (Word, Excel, PowerPoint, Outlook).
Nice to have experience (preferred): FINRA Series 4, 53, 65 and/or 66 licenses - business will support continuing education/licensing Risk Management experience #LI-Remote Whats 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.
Whats 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 (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: $63,500 - $80,500 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 Lincolns 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 Lincolns standard benefits package.
About The Company Lincoln Financial Group helps people to plan, protect and retire with confidence.
As of Dec.
31, 2022, approximately 16 million customers trust our guidance and solutions across four core businesses annuities, life insurance, group protection and retirement plan services.
As of September 30, 2023, the company had $290 billion in end-of-period account balances, net of reinsurance.
Headquartered in Radnor, Pa.
, Lincoln Financial Group is the marketing name for Lincoln National Corporation (NYSE: LNC) and its affiliates.
Learn more at LincolnFinancial.
com.
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.
Follow us on Facebook (http://www.
facebook.
com/lincolnfinancialgroup) , X (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/) .
For the latest company news, visit our newsroom (https://www.
lincolnfinancial.
com/public/aboutus/newsroom) .
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 Lincolns 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 Lincolns 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.

Position Details

POSTED:

EMPLOYMENT:

Full-time

SALARY:

80500 per year

SNAPRECRUIT ID:

S-1707132024-87f799d0c5536933019b65c302bf11fd

LOCATION:

Wiltz United States

CITY:

Madison

Job Origin:

jpick2

A job sourcing event
In Dallas Fort Worth
Aug 19, 2017 9am-6pm
All job seekers welcome!

Broker-Dealer Suitability Specialist    Apply

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Alternate Locations: Work from Home; Fort Wayne, IN (Indiana); Greensboro, NC (North Carolina); Radnor, PA (Pennsylvania) Work Arrangement: Hybrid/Flexible : Work at home and use the office as appropriate for in-person collaboration. Relocation assistance: is not available for this opportunity. Requisition #: 72771 The Role at a Glance We are excited to bring on a Suitability Specialist to join our Broker-Dealer Risk Management Team, supporting Lincoln Financial Network in a work from home environment. Background details As the Suitability Specialist for our Broker-Dealer Risk Management team, you will assist in providing subject matter expertise and direction on routine risk issues and projects/initiatives for Lincoln Financial Network (LFN). You will also conduct routine reviews and risk analysis to monitor the effectiveness of plans. If this sounds like a role for you, please read on! What you'll be doing Identifies, communicates, and escalates risks to management as needed. Develops and maintains review documentation. Manages, conducts and/or participates in projects for LFN. Prepares responses to regulatory and/or audit inquiries. Obtains input from management as appropriate before making internal/external statements or providing information that could impact the corporation. Prepares, updates, and/or files applicable compliance reports, forms, and/or contracts. May provide ongoing risk review of all related marketing, product, service and/or sales materials. Performs analysis and communicates recommended changes as a result of new and/or revised State and Federal laws and regulations affecting LFN. Researches, compiles, and reviews state laws and regulations using appropriate databases, the internet, and other resources as assigned. Carries out duties in compliance with all state and federal regulations and guidelines. Complies with all company and site policies and procedures. Performs other duties as required. What were looking for Must haves experience (required): 4 Year/Bachelor's degree or equivalent work experience (4 years of experience in lieu of Bachelor's) 1 - 3+ Years of experience in financial services that directly aligns with the specific responsibilities for this position FINRA Series 7, FINRA Series 24 and FINRA Series 63 license at the time of hire Strong written and verbal communication skills. Ability to work with others in a team environment; Demonstrates strong interpersonal skills with a collaborative style. Demonstrates excellent organizational skills with the ability to prioritize workload and multi-task while maintaining strict attention to detail. 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 the ability to use sound judgment and discretion regarding confidential information. Proficiency with Microsoft Office Suite (Word, Excel, PowerPoint, Outlook). Nice to have experience (preferred): FINRA Series 4, 53, 65 and/or 66 licenses - business will support continuing education/licensing Risk Management experience #LI-Remote Whats 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. Whats 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 (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: $63,500 - $80,500 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 Lincolns 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 Lincolns standard benefits package. About The Company Lincoln Financial Group helps people to plan, protect and retire with confidence. As of Dec. 31, 2022, approximately 16 million customers trust our guidance and solutions across four core businesses annuities, life insurance, group protection and retirement plan services. As of September 30, 2023, the company had $290 billion in end-of-period account balances, net of reinsurance. Headquartered in Radnor, Pa., Lincoln Financial Group is the marketing name for Lincoln National Corporation (NYSE: LNC) and its affiliates. Learn more at LincolnFinancial.com. 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. Follow us on Facebook (http://www.facebook.com/lincolnfinancialgroup) , X (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/) . For the latest company news, visit our newsroom (https://www.lincolnfinancial.com/public/aboutus/newsroom) . 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 Lincolns 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 Lincolns 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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