Lincoln Financial Group is a diversified financial services organization with a strong focus on four core business areas - life insurance, annuities, defined contribution, and group protection; and three distribution platforms - wholesale, retail, and worksite. Since 1905, Lincoln Financial has helped customers face their futures with confidence by offering trusted financial solutions and advice. Lincoln Financial Group is the marketing name for Lincoln National Corporation (NYSE: LNC) and its affiliates.
Overview:
The Forms Manager performs activities related to administrative and regulatory forms and disclosures within LFN Service Excellence for the Lincoln Financial Advisors (LFA) and Lincoln Financial Securities (LFS) broker-dealers. He/she will develop new forms and make updates to existing forms required to open and service client accounts by working with internal departments, multiple clearing firms and vendors along with making the forms available on multiple websites and platforms, maintaining archives and responding to inquiries. He/she is responsible for managing and performing these activities within the context of regulatory requirements, compliance and legal guidelines, and company policy.
Responsibilities:
Recommends and drives the development of new forms based on analysis of business unit needs and regulatory requirements to mitigate risk to the firm. Recommends and drives changes to existing forms based on analysis of business unit needs, clearing firm and regulatory requirements, to mitigate risk to the firm. Manages new business applications, supplemental, money movement and service-related forms, service agreements, fee schedules and client disclosures necessary for conducting business within the Broker-Dealers and Registered Investment Advisors and to mitigate risk to the firm. Writes language, edits language and proofreads drafts of forms. Consults with internal and external Compliance departments to determine how regulatory changes impact forms and disclosures. Consults with attorneys both internally and externally to determine language on forms and disclosures. Designs layout of forms and/or provides direction to internal forms design department or clearing firm forms design vendors on the design and layout of forms. Determines processes for updating forms on multiple field and client websites in addition to verifying website content to ensure timely and accurate information is presented on forms. Manages process for updating forms on vendor fillable forms software as well as serves as subject matter expert on the tool, provides training and communication, develops reference materials and website content supporting the tool, and maintains the Broker-Dealer forms group files on the tool. Manages processes for Compliance and Legal review and approval of forms. Determines processes for tracking and archiving forms. Responds to Compliance, Legal, Internal Audit and Regulatory Agency requests for archived content. Ensures forms and disclosures are within SEC and FINRA parameters and company guidelines to mitigate risk to the firm. Leads and/or participates on project teams to manage and/or perform forms tasks within the context of larger projects. Develops communications to field and clients announcing new forms and/or form updates. Addresses field and business unit inquiries on forms. Job Requirements Qualifications:
Ba chelor's Degree in Business or similar area of study or experience equivalency as could be gained by 5-7 years of financial services industry experience. Forms experience as could be gained by 3-5 years in a forms management, operations or compliance role. FINRA Series 7 and 24 required (or must be obtained within 6 months of hire date). FINRA Series 63 and 65, or 66 desirable. Technical Skills:
Demonstrated written communication skills Demonstrated design and layout skills Advanced editing/proofreading skills Strong working knowledge of securities industry, distribution channels and regulatory requirements. Microsoft Office Suite (Word, Excel, PowerPoint and Outlook) Work and be proficient with Adobe Work and be proficient with a variety of internal broker-dealer and clearing firm/vendor systems Other Skills and Abilities:
Demonstrated organizational skills Demonstrated time management skills Demonstrated planning skills Demonstrated interpersonal skills Must be detail oriented Ability to lead and/or work on several projects simultaneously Ability to work under pressure and meet deadlines Ability to work with others in a team envioronment Location:
Position can be located in Concord , NH or Fort Wayne , IN.
Lincoln Financial Network is a Gold Partner with Women in Insurance and Financial Services
Additional Details
Lincoln Financial Group - 12 months ago
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