Suitability Compliance Specialist

Lincoln Financial • Radnor, PA

8d • Hybrid

About The Position

As a Suitability Compliance Specialist, you will be responsible for ensuring compliance with federal securities and state insurance laws through the development and administration of suitability review programs. You will conduct detailed research, review marketing and sales materials, and collaborate with internal and external stakeholders to maintain transparency and regulatory adherence. Additionally, you will support audits, deliver compliance training, and contribute to policy development to keep pace with evolving regulations.

Requirements

• 4 Year/Bachelor's degree or equivalent work experience (4 years of experience in lieu of Bachelor's) (Minimum Required)
• 1 - 3+ Years of Compliance and/or Legal experience that directly aligns with the specific responsibilities for this position. (Required)
• 120 Days Certifications/Licensures: (SIE, Series License-6, Series License-26)

Responsibilities

• Developing, implementing, and administering suitability compliance review programs.
• Identifying, researching and resolving exceptions to suitability problems with business partners and service providers.
• Providing ongoing routine suitability and compliance review of all related marketing, product, service, and/or sales materials.
• Conducting research of federal securities laws and state insurance laws.
• Preparing, updating and/or filing applicable suitability and compliance reports, forms, and/or contracts.
• Performing analysis and communicating recommended changes as a result of new and/or revised State and Federal laws and regulations.
• Reviewing customer correspondence for compliance with applicable rules and regulations.
• Developing and maintaining compliance review documentation.
• Providing effective and open communication with internal/external stakeholders to ensure transparency and consistency of suitability and compliance actions.
• Delivering training to internal stakeholders and contributing to the development of routine compliance policies and procedures.
• Supporting the preparation of responses to regulatory and audit inquiries.
• Potentially drafting and/or filing all applicable forms and/or applications by identifying and complying with regulatory requirements.
• Researching, compiling and reviewing state laws and regulations using appropriate databases, the internet and other resources as assigned.
• Participating in compliance projects.

Benefits

• Clearly defined career tracks and job levels, along with associated behaviors for each of Lincoln's core values and leadership attributes
• Leadership development and virtual training opportunities
• 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

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level
• Number of Employees: 1,001-5,000 employees