Compliance Advisor Literature Review
Lincoln Investment
Location: Fort Washington, PA or Remote
Basic Function: To act in the role of Compliance Advisor – Literature Review and report to the Compliance Manager with primary responsibility for the day-to-day compliance review of communications with the public. The role will involve working with Financial Professionals, Designated Supervisors, Branch Office personnel and Home Office Sales and Marketing team members to provide compliance consultation and guidance.
Essential Job Responsibilities:
Review, edit and approve communications with the public produced by Financial Professionals, Branch Offices and Home Office for compliance with FINRA, SEC, MSRB, NFA, Federal and State rules and regulations. Materials include advertisements, sales literature, training material, reprints, RFPs, commentaries, fact sheets, product-sponsored materials, websites, presentations, social media postings, etc.
Understanding of FINRA/SEC rules and regulations and learn how they apply to social media in our business.
Ensure materials created for public use that require filing with FINRA are done so within stated timeframes. Review FINRA comment letters as applicable to ensure that they are resolved and responded to in a timely manner.
Stay abreast of changing regulations that impact our business to continuously evolve best-in-class review processes, policies and procedures. Identify areas for improvement and work with the Compliance Manager to implement solutions.
Collaborate with internal/external partners and be exceptional at developing and nurturing professional relationships with team members and internal/external business partners.
Participate in and support all department and corporate compliance-related initiatives, including training of associated persons on the Firm's policies, procedures and regulatory requirements.
Assist as needed in the review and approval/disapproval of professional designations used by Financial Professionals.
Assist as needed in the review and approval/disapproval of non-cash compensation requests.
Provide consultation to Designated Supervisors, Financial Professionals, Branch Personnel and Home Office Personnel as requested.
Provide back-up support to other Compliance team members as needed.
Ability to prepare and conduct compliance training, as needed.
Other duties as assigned.
Knowledge/Experience:
Required:
To be able to perform optimally, one must have a strong working knowledge of FINRA/SEC/MSRB/NFA rules and regulations for Broker-Dealer and Registered Investment Advisor communications with the public.
Product knowledge of securities products and investment advisory services.
Advertising review related experience.
Intermediate to advanced computer skills, including Microsoft Word and Excel, PowerPoint, Adobe Acrobat, Outlook and web-based applications.
Preferred:
3-5 years of Compliance focused experience in a broker-dealer operations environment.
Experience reviewing content posted to social media websites, including attendant software and platforms.
Skills:
Excellent interpersonal, written and verbal communications.
Outstanding time management, organizational and follow-up skills to effectively plan and take tasks to completion within specified time frames.
Ability to manage multiple tasks simultaneously.
Maintain focus and develop a prioritization system to provide exceptional customer service levels in a dynamic environment.
Scrupulous attention to detail and accuracy.
Compelling and effective at communicating, presenting and building consensus on compliance issues across all levels within the organization.
Ability to work independently and collaboratively with minimal supervision.
Exercises strong independent judgment and discretion in determining compliance with applicable regulations and company guidelines.
Proficiency in Word, Excel, PowerPoint, Adobe Acrobat, Outlook and web-based applications.
Education/Training: Bachelor's degree in a related field or the equivalent combination of education and/or experience.
Certification/Licenses: Series 7, 24 and 53 required (Successful candidates who do not possess Principal’s registration at time of hire will have 6 months to obtain).
Physical/Other Requirements:
Periods of fast pace are normal particularly when working to meet deadlines.
Occasional travel relating to industry conferences and training sessions. Some travel may involve overnight stays.
Lincoln Investment is proud to be an Equal Opportunity Employer. We celebrate a diverse workforce and do not discriminate based on race, religion, color, national origin, sex, sexual orientation, age, veteran status, disability status, or any other applicable characteristics protected by law.
Lincoln Investment recognized as one of Philadelphia's Top Workplaces for over ten years, is an independent broker-dealer and registered investment adviser that offers brokerage, investment advisory and other financial services. Lincoln has over 1,000 financial advisors nationwide and we serve over 350,000 clients representing over $36 billion in assets. We are a majority family-owned financial services firm that regards our employees as integral players in our continuous growth. Lincoln Investment's success is built upon our dedication to helping people retire well and promoting a work environment that fosters success. Our financial strength and profitability are natural results of "helping people, having fun, and enjoying success." Lincoln Investment offers a competitive compensation and benefits package. Our Home Office is conveniently located in Fort Washington, PA, just outside of Philadelphia.