at Lincoln Financial Group in Springfield, Illinois, United States
Job Description
Alternate Locations: Atlanta, GA (Georgia); Austin, TX (Texas); Bakersfield, CA (California); Baltimore, MD (Maryland); Baton Rouge, LA (Louisiana); Birmingham, AL (Alabama); Boise, ID (Idaho); Boston, MA (Massachusetts); Buffalo, NY (New York); Canonsburg, PA (Pennsylvania); Charlotte, NC (North Carolina); Chicago, IL (Illinois); Cincinnati, OH (Ohio); Clearwater, FL (Florida); Cleveland, OH (Ohio); Columbia, SC (South Carolina); Columbus, OH (Ohio); Concord, NH (New Hampshire); Dallas, TX (Texas); Deerfield Beach, FL (Florida); Denver, CO (Colorado); Detroit, MI (Michigan); Dover, NH (New Hampshire); Durham, NC (North Carolina); Edina, MN (Minnesota); Edison, NJ (New Jersey); El Paso, TX (Texas); Ellicott City, MD (Maryland); Fayetteville, SC (South Carolina); Florence, SC (South Carolina); Fort Lauderdale, FL (Florida); Fort Wayne, IN (Indiana); Fort Worth, TX (Texas); Gainsville, FL (Florida); Glen Allen, VA (Virginia); Glendale, CA (California); Greensboro, NC (North Carolina); Greenwood Village, CO (Colorado); Hartford, CT (Connecticut); Houston, TX (Texas); Huntsville, AL (Alabama); Indianapolis, IN (Indiana); Irvine, CA (California); Jacksonville, FL (Florida); Johnson City, TN (Tennessee); Kansas City, KS (Kansas); Kansas City, MO (Missouri); La Jolla, CA (California); Lexington, KY (Kentucky); Los Angeles, CA (California); Louisville, KY (Kentucky); Lutherville, MD (Maryland); Madison, WI (Wisconsin); Memphis, TN (Tennessee); Miami, FL (Florida); Milwaukee, WI (Wisconsin); Minneapolis, MN (Minnesota); Nashville, TN (Tennessee); New Braunfels, TX (Texas); New York, NY (New York); None; Norwood, OH (Ohio); Omaha, NE (Nebraska); Orlando, FL (Florida); Palm Desert, CA (California); Paramus, NJ (New Jersey); Parsippany, NJ (New Jersey); Philadelphia, PA (Pennsylvania); Phoenix, AZ (Arizona); Pittsburgh, PA (Pennsylvania); Plano, TX (Texas); Plymouth Meeting, PA (Pennsylvania); Portland, ME (Maine); Portland, OR (Oregon); Provo-Orem, UT (Utah); Radnor, PA (Pennsylvania); Raleigh, NC (North Carolina); Richmond, VA (Virginia); Rochester, NY (New York); Rockville, MD (Maryland); Rolling Meadows, IL (Illinois); Rye Brook, NY (New York); Sacramento, CA (California); Salt Lake City, UT (Utah); San Antonio, TX (Texas); San Antonio, TX (Texas); San Diego, CA (California); San Francisco, CA (California); San Ramon, CA (California); Schaumburg, IL (Illinois); Scottsdale, AZ (Arizona); Seattle, WA (Washington); Southfield, MI (Michigan); St. Louis, MO (Missouri); St. Petersburg, FL (Florida); Syosset, NY (New York); Tampa, FL (Florida); Toledo, OH (Ohio); Tucson, AZ (Arizona); Tupelo, MS (Mississippi); US All Regions; US Midwest; US Northeast; US Southeast; US Southwest; US West; Vienna, VA (Virginia); Virginia Beach, VA (Virginia); Walnut Creek, CA (California); Washington, DC (District of Columbia); Westlake Village, CA (California); White Plains, NY (New York); Windsor, CT (Connecticut); Woodmere, OH (Ohio); 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 #: 71717
The Role at a Glance
As a Supervision Associate, you will perform and deliver on routine and progressively more non-routine assignments/projects for your assigned area(s) of responsibility. In this position, you will review electronic and hard copy correspondence generated in Lincoln’s field office locations to ensure Lincoln is complying with regulatory requirements for your assigned area(s). You will assist in the preparation of supervisory visits and provide support for other tasks and projects as required.
What you’ll be doing
+ Supporting and promoting change management and/or departmental/enterprise initiatives within assigned area(s) of responsibility.
+ Maintaining knowledge on current and emerging developments/trends for assigned area(s) of responsibility.
+ Performing and delivering on routine assignments/projects for their assigned area(s) of responsibility.
+ Reviewing electronic and hard copy correspondence and identifying routine and progressively more non-routine sales practice issues or other violations of firm/industry regulations.
+ Resolving routine and progressively more non-routine issues by collaborating with appropriate internal/external stakeholders and ensures action plans
+ Capturing and remediating the deficiencies found during reviews/audits for assigned area(s) of responsibility
+ Scheduling and preparing for supervisory visits, ensuring the outcome of the visit is documented and any issues identified as not in compliance are resolved.
+ Providing support and ensuring that applicable broker dealer, investment advisors, and registered representatives’ compliance functions follow all rules, regulations, policies, and procedures.
+ Providing support for the oversight, detection, and prevention of violations of LFN procedures, Securities industry rules and regulations, and the execution of the surveillance program for LFN.
+ Carrying out duties in compliance with all state and federal regulations and guidelines. Complies with all company and site policies and procedures.
+ Remaining current in profession and industry trends.
+ Making a positive contribution as demonstrated by: Making suggestions for improvement, Learning new skills, procedures, and processes
+ Performing other duties as required.
What we’re looking for
Must Haves:
+ 4 Year/Bachelor’s degree or equivalent work experience (4 years of experience in lieu of Bachelor’s)
+ 0 – 1+ Years financial services experience that directly aligns with the specific responsibilities for this position
+ Ability to read, analyze and interpret both internal and external documents such as general media/publications, professional journals, technical procedures, governmental regulations, policies, proposals, and standard operating procedures.
Nice-to-haves:
+ Ability to work within a team environment
+ Effective active listening skills
+ Strong communication skills
+ Problem solving skills
+ Strong work ethic
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
+ 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: $41,500 – $74,100
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
