Compliance Manager
Lincoln Financial Group - Concord, NH

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About The Company

Lincoln Financial Group is a Fortune 500 company offering a diverse range of financial services and solutions. With a strong focus on four core business areas - life insurance, annuities, retirement plan services, and group protection - our business is built around supporting, preserving, and enhancing our customer's lifestyles and providing better retirement outcomes. Led by over 8,000 employees, Lincoln Financial provides the tools and advice to help individuals take charge of their futures.

The Role

The Compliance Manager is responsible for supporting designing, implementing and maintaining effective compliance programs for Lincoln Variable Insurance Products Trust (LVIP), Lincoln Advisors Trust (LAT), Lincoln Investment Advisors Corporation (LIA) and Lincoln National Life's managed separate accounts. LVIP and LAT are registered investment companies (mutual funds) and LIA is an SEC- registered investment adviser.

Responsibilities
Coordinates and participates in on-site investment manager and service provider due diligence visits to assess the adequacy and effectiveness of their compliance programs and that supports Funds Management's selection and ongoing evaluation of these providers. Tracks services providers' compliance policies and procedures and summarize for management and Board of Trustees. Conducts annual and ongoing review of the funds and adviser's compliance programs. Tests compliance policies and procedures to ensure they are effectively implemented and document results Supports the monitoring of investment restrictions and guidelines through the Charles River post-trade surveillance system. Identify, research and resolve exceptions with business partners and service providers Supports the preparation of quarterly and annual compliance reports to the Board of Trustees. Coordinates annual and periodic updates to Form ADV for LIA. Oversees the Sarbanes-Oxley certification process for LVIP and LAT financial statements. Manages regulatory or internal examinations and inquiries. Establishes and maintains effective relationships with business partners and service providers. Supports business initiatives by participating in compliance-related meetings, delivering training and developing compliance policies and procedures. Stays abreast of evolving investment advisory regulation.
Job Requirements Requirements
Educational
4 Year / Bachelors Degree or equivalent work experience Additional Details

Lincoln Financial Group - 17 months ago - save job - block
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About this company
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Lincoln Financial Group is a diversified financial services organization headquartered in the Philadelphia region. With $150 billion as of...