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Senior Compliance Manager - Business LC&P Advertising Compliance

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Lincoln Financial Group-Senior Compliance Manager - Business LC&P Advertising Compliance

Position/ Job Title:Senior Compliance Manager - Business LC&P Advertising Compliance
Company Name: Lincoln Financial Group
Job Status: Full Time
Work Experience: Not Specified
Salary: Not Mentioned

Location: Radnor, Pennsylvania,
Post Date: 01-28-2012
Exp Date: 02-27-2012

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Job Description:

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.

GENERAL PURPOSE OF JOB

The Marketing/Advertising Compliance Section of LFD Business Law & Compliance is responsible for the regulatory review and approval of Lincoln Financial Group products advertising and sales literature to ensure compliance with FINRA, SEC and state securities and insurance regulations. The position partners and consults with various levels of the enterprise on communications with the public and other advertising issues.

ESSENTIAL DUTIES AND RESPONSIBILITIES

Reviews, evaluates and provides regulatory approval of Advertising and Sales Literature for use by registered representatives of all Lincoln Financial Group affiliated broker/dealers and for use with and by LFG's strategic partner distribution firms.Maintains Compliance files in satisfaction FINRA and State Insurance Department data retention requirements.Completes appropriate regulatory filings with FINRA Advertising Regulation and State Insurance Departments.Prepares reports in response to State Market Conduct examinations and for FINRA/SEC audits and inquiries.Creates and delivers annual training programs for Compliance, Marketing, and Product Development staff.Carries out duties in compliance with all state and federal regulations and guidelines. Complies with all company and site policies and procedures.Remains current in profession and industry trends.

Source: Senior Compliance Manager - Business LC&P Advertising Compliance - CareerBuilder.com