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Risk Management Specialist - Surveillance Team
Company | Lincoln Financial Group |
Address | Fort Wayne, IN, United States |
Employment type | FULL_TIME |
Salary | |
Category | Insurance,Financial Services,Investment Management |
Expires | 2023-08-25 |
Posted at | 10 months ago |
Alternate Locations: Fort Wayne, IN (Indiana); Philadelphia, PA (Pennsylvania); Work from Home
- Carries out duties in compliance with all state and federal regulations and guidelines. Complies with all company and site policies and procedures.
- Manages, conducts and/or participates in projects for LFN.
- Researches, compiles, and reviews state laws and regulations using appropriate databases, the internet, and other resources as assigned.
- May provide ongoing risk review of all related marketing, product, service and/or sales materials.
- Prepares, updates, and/or files applicable compliance reports, forms, and/or contracts.
- Performs other duties as required.
- Identifies, communicates, and escalates risks to management as needed.
- Develops and maintains review documentation.
- Promotes and enhances organizational initiatives by positively influencing and supporting change management and/or departmental/enterprise initiatives.
- Performs analysis and communicates recommended changes as a result of new and/or revised State and Federal laws and regulations affecting 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.
- Identifies and communicates to management process improvements that reduce workloads or improve quality.
- Ability to work with others in a team environment; Demonstrates strong interpersonal skills with a collaborative style.
- FINRA Series License 24 - 90 days upon hire
- Proficiency with Microsoft Office Suite (Word, Excel, PowerPoint, Outlook).
- Demonstrates the ability to use sound judgment and discretion regarding confidential information.
- FINRA Series License 7
- 4 Year/Bachelor's degree or equivalent work experience (4 years of experience in lieu of Bachelor's)
- Strong written and verbal communication skills.
- 1 - 3+ Years of experience in financial services that directly aligns with the specific responsibilities for this position
- 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.
- FINRA Series License 65/66, 4, and 53 preferred - business will support continuing education/licensing
- Risk Management experience
- Free financial counseling, health coaching and employee assistance program
- Tuition assistance program
- PTO/parental leave
- A clearly defined career framework to help you successfully manage your career
- Effective productivity/technology tools and training
- A leadership team that prioritizes your health and well-being; offering a remote work environment and flexible work hybrid situations
- Competitive 401K and employee benefits
- Leadership development and virtual training opportunities
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