Compliance Advisor

This compliance adivsor is responsible for all investment advisory and back office operations compliance. The compliance advisor will work with Lincoln's sales department to review any new advisors and advisory services and conduct ongoing annual due diligence on all existing advisors and advisory services. This position is responsible for conducting the annual inspection of back office systems for advisory and broker dealer compliance with all applicable rules, regulations, policies and procedures. Will be required to prepare and conduct training, provide consultation and support other compliance team members.


Join the Lincoln Team

Lincoln is an independent broker dealer that offers investment advisory and custodial services. We manage $4 billion dollars in assets. We are a family-owned financial services firm that regards our employees as integral players in our continuous growth. Lincoln's success is built upon our dedication to helping people retire well and to providing an enjoyable work environment that fosters success. Our financial strength and profitability are natural results of "helping people and having fun." Lincoln offers competitive compensation and benefits packages with a strong emphasis on continuing education and retirement savings. We are conveniently located in Wyncote, PA, just outside of Philadelphia.



Benefits Package

Lincoln offers a core benefits package that includes:

• time off benefits
• health, dental and vision plans
• flexible spending accounts
• 401(k) and profit sharing plan
• life, accidental death and dismemberment insurance
• short and long-term disability
• tuition reimbursement
REQUIREMENTS
• Series 7, 24 and 65 registrations required
• Organizational and time management skills
• Excellent writing and communication skills
• Project management capabilities
• Knowledge of NASD, SEC, ERISA and MSRD rules and regulations for broker dealer operations and investment advisory services
• Knowledge of securities products and investment advisory services
• Experience designing and delivering training sessions