Compliance Consultant, Registered Funds
About The Position
We're excited to bring on a Compliance Consultant to contribute to various registered fund and investment adviser projects, including drafting and processing SEC filings; drafting fund board materials; drafting certifications, agreements, amendments, and correspondence; and other projects as needed. We are looking for someone to fill this important role in the legal department supporting our growing funds management business line. In this role you will have a role in a fast moving and organizationally impactful business, working with colleagues within the legal department as well as portfolio management, accounting, relationship management, external counsel, auditors, and others.
Requirements
- Undergraduate degree and 4+ years of comparable work experience
- 3-5 Years of experience that align with the responsibilities of the job
- Familiarity with the SEC’s EDGAR filing portal and related regulatory filing requirements
- Familiarity with SEC filing and content management software
- Skilled collaborator who can work in tandem with a highly skilled and driven team
- Strong communication and project management skills
- Independent worker who can work with decreasing levels of supervision over time
- Curious learner who seeks to continually update and improve
Responsibilities
- Providing subject matter expertise in the preparation and processing of SEC filings.
- Participating in complex assignments, projects, and/or initiatives to maintain, build, and enhance Lincoln's registered fund and investment adviser functions.
- Developing and defining appropriate objectives for quality, compliance, and productivity.
- Acting as a Key contributor and trusted advisor in cross-functional team environments and interactions with lines of business.
- Collaborating with peers and leadership across the Business Units and Departments.
- Satisfying appropriate objectives for quality, compliance, and productivity.
- Providing subject matter expertise to team members and applicable internal/external stakeholders on complex assignments/projects.
- Remaining updated on changes in SEC filing requirements and best practices.
Benefits
- PTO/parental leave
- Competitive 401K and employee benefits
- Free financial counseling, health coaching and employee assistance program
- Tuition assistance program
- Work arrangements that work for you
- Effective productivity/technology tools and training
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
