Description:
As a Risk Management Specialist for our Surveillance Team, you will assist in providing subject matter expertise and direction on routine risk issues and projects/initiatives for Lincoln Financial Network (LFN). You will also conduct routine reviews and risk analysis to monitor the effectiveness of plans.
What you'll be doing
- Promotes and enhances organizational initiatives by positively influencing and supporting change management and/or departmental/enterprise initiatives.
- Identifies and communicates to management process improvements that reduce workloads or improve quality.
- Identifies, communicates, and escalates risks to management as needed.
- Develops and maintains review documentation.
- Manages, conducts and/or participates in projects for 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.
- Prepares, updates, and/or files applicable compliance reports, forms, and/or contracts.
- May provide ongoing risk review of all related marketing, product, service and/or sales materials.
- Performs analysis and communicates recommended changes as a result of new and/or revised State and Federal laws and regulations affecting LFN.
- Researches, compiles, and reviews state laws and regulations using appropriate databases, the internet, and other resources as assigned.
- Carries out duties in compliance with all state and federal regulations and guidelines. Complies with all company and site policies and procedures.
- Performs other duties as required.
What we’re looking for
Must-haves:
- 1 - 3+ Years of experience in financial services that directly aligns with the specific responsibilities for this position
- 4 Year/Bachelor's degree or equivalent work experience (4 years of experience in lieu of Bachelor's)
- FINRA Series License 7
- FINRA Series License 24 - 90 days upon hire
- Strong written and verbal communication skills.
- Ability to work with others in a team environment; Demonstrates strong interpersonal skills with a collaborative style.
- 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.
- Demonstrates the ability to use sound judgment and discretion regarding confidential information.
- Proficiency with Microsoft Office Suite (Word, Excel, PowerPoint, Outlook).