Compliance Consultant, Advertising Review - Private Market Funds

Alternate Locations: Radnor, PA (Pennsylvania); Fort Wayne, IN (Indiana); Greensboro, NC (North Carolina); Hartford, CT (Connecticut); Omaha, NE (Nebraska)

 Work Arrangement:

Hybrid Preferred : Preferred employee will work 3 days a week in a Lincoln office

Relocation assistance:  is not available for this opportunity.

Requisition #: 74527

The Role at a Glance

The Role at a Glance:

We are excited to bring on a Consultant, Advertising Compliance to support our Lincoln Financial Distributors (wholesale) business unit in reviewing and approving advertising, marketing materials and communications with a focus on private market funds and mutual funds, in addition to Lincoln’s annuity, insurance, and retirement plan products.  As a primary contributor to this group, you will work closely with our sales and marketing teams and other departments to review and help develop effective and compliant communications, sales and educational materials for internal, financial professional and public audiences. 

Comprehensive knowledge of FINRA and SEC regulations is required as well as diplomatic and public speaking skills. The ideal candidate will have the experience described above as well as experience researching and interpreting new rules and regulations, a solid knowledge of financial services products (specifically investment companies). 

What you'll be doing

What you'll be doing:

• Provide timely principal reviews of advertising, marketing materials and communications, and social media.
• Act as subject matter expert regarding firm and regulatory guidelines including FINRA and SEC, and knowledgeable in NAIC and various individual states.
• Direct and enhance organizational initiatives, process improvements and innovative efficiencies by positively influencing and supporting change management and/or departmental/enterprise initiatives within assigned area(s) of responsibility.
• Complete timely filing of materials with FINRA as needed.
• Collaborate with marketing, sales and product groups to provide guidance as materials are being developed for major initiatives and product launches.  
• Provide training opportunities to help foster knowledge sharing regarding compliance topics. 
• Add value by getting ahead of potential issues. Write guidelines and update written supervisory procedures as needed.
• Establish and maintain relationships within the firm, and FINRA regulator.
• Identify complex risks and develop/recommend remediation plans.
• Provide effective and open communication with internal/external stakeholders to ensure transparency and consistency of compliance actions.
• Prepare and communicate complex compliance alerts and/or communications concerning new or updated compliance policies or industry rules and regulations.
• Understand balancing the needs of business with the regulations that govern that business.

What we’re looking for

What we’re looking for:

Must-Haves:

• 4 Year/Bachelor's degree or equivalent work experience. 
• 3+ years’ experience with marketing reviews and advertising material preferred. 
• Series 7/24 required.
• Ability to read, analyze, and interpret both internal and external documents such as general media/publications, professional journals, technical procedures, governmental regulations, policies, proposals, and standard operating procedures.
• Strong written and verbal communication skills.
• Strong presentation skills with demonstrated ability to influence at all levels of management through clear, informed and logical discussions/presentations.
• Ability to analyze complex information, evaluate the implications of a course of action, ability to deal with a variety of variables to provide solutions.
• Demonstrated strong relationship management skills with internal clients and external clients at all levels in a collaborative style. 
• Time management and prioritizations skills.
• Ability to utilize technology to assist in achieving an efficient marketing material review process.

Nice-to-haves: 

• Familiarity with RegEd Adtrax review software
• Experience with Hearsay Social Media Supervision software 
• Experience with marketing content management systems

Application Deadline

Applications for this role will be accepted through May 30th, 2025 subject to earlier closure due to applicant volume.

What’s it like to work here?

At Lincoln Financial, we love what we do. We make meaningful contributions each and every day to empower our customers to take charge of their lives. Working alongside dedicated and talented colleagues, we build fulfilling careers and stronger communities through a company that values our unique perspectives, insights and contributions and invests in programs that empower each of us to take charge of our own future. 

What’s in it for you:

• 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

The pay range for this position is $69,000 - $124,600 with anticipated pay for new hires between the minimum and midpoint of the range and could vary above and below the listed range as permitted by applicable law. Pay is based on non-discriminatory factors including but not limited to work experience, education, location, licensure requirements, proficiency and qualifications required for the role. The base pay is just one component of Lincoln’s total rewards package for employees.  In addition, the role may be eligible for the Annual Incentive Program, which is discretionary and based on the performance of the company, business unit and individual.  Other rewards may include long-term incentives, sales incentives and Lincoln’s standard benefits package.

About The Company

Lincoln Financial (NYSE: LNC) helps people to confidently plan for their version of a successful future. We focus on identifying a clear path to financial security, with products including annuities, life insurance, group protection, and retirement plan services. 

With our 120-year track record of expertise and integrity, millions of customers trust our solutions and service to help put their goals in reach. 

Lincoln Financial Distributors, a broker-dealer, is the wholesale distribution organization of Lincoln Financial. Lincoln Financial is the marketing name for Lincoln Financial Corporation and its affiliates including The Lincoln National Life Insurance Company, Fort Wayne, IN, and Lincoln Life & Annuity Company of New York, Syracuse, NY. Lincoln Financial affiliates, their distributors, and their respective employees, representatives and/or insurance agents do not provide tax, accounting or legal advice. 

Lincoln is committed to creating a diverse and inclusive environment and is proud to be an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, gender, gender identity or expression, sexual orientation, national origin, genetics, disability, age, or veteran status. 

Follow us on Facebook, X, LinkedIn, Instagram, and YouTube. For the latest company news, visit our newsroom. 

Be Aware of Fraudulent Recruiting Activities

If you are interested in a career at Lincoln, we encourage you to review our current openings and apply on our website. Lincoln values the privacy and security of every applicant and urges all applicants to diligently protect their sensitive personal information from scams targeting job seekers. These scams can take many forms including fake employment applications, bogus interviews and falsified offer letters.

Lincoln will not ask applicants to provide their social security numbers, date of birth, bank account information or other sensitive information in job applications. Additionally, our recruiters do not communicate with applicants through free e-mail accounts (Gmail, Yahoo, Hotmail) or conduct interviews utilizing video chat rooms. We will never ask applicants to provide payment during the hiring process or extend an offer without conducting a phone, live video or in-person interview.  Please contact Lincoln's fraud team at [email protected] if you encounter a recruiter or see a job opportunity that seems suspicious.

Additional Information

This position may be subject to Lincoln’s Political Contribution Policy.  An offer of employment may be contingent upon disclosing to Lincoln the details of certain political contributions. Lincoln may decline to extend an offer or terminate employment for this role if it determines political contributions made could have an adverse impact on Lincoln’s current or future business interests, misrepresentations were made, or for failure to fully disclose applicable political contributions and or fundraising activities.

Any unsolicited resumes or candidate profiles submitted through our web site or to personal e-mail accounts of employees of Lincoln Financial are considered property of Lincoln Financial and are not subject to payment of agency fees.

Lincoln Financial is an Equal Opportunity employer and, as such, is committed in policy and practice to recruit, hire, compensate, train and promote, in all job classifications, without regard to race, color, religion, sex (including pregnancy), age, national origin, disability, sexual orientation, gender identity and expression, Veteran status, or genetic information.  Applicants are evaluated on the basis of job qualifications.  If you are a person with a disability that impedes your ability to express your interest for a position through our online application process, or require TTY/TDD assistance, contact us by calling 260-455-2558.

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