Compliance Consultant

Lincoln Financial Group; United States; Hybrid; USD 75,000 - 120,000; Full time

Benefits offered by this job

PTO/ parental leave

401K and benefits

Tuition assistance

Financial counseling

Job summary

Lincoln Financial Group is seeking a Compliance Consultant to support our Funds Management team. You will implement and maintain complex compliance programs across LVIP, PM Funds, LFI, and related managed accounts, focusing on testing, policy updates, and oversight of service providers.

You will collaborate with stakeholders to document findings, develop remediation action plans, and help manage AML and risk monitoring programs.

Qualifications

• 4 Year/Bachelor's degree or equivalent work experience (4 years of experience in lieu of Bachelor's)
• 3 - 5+ Years experience in compliance that directly aligns with the specific responsibilities for this position (Required)

Responsibilities

• Developing and performing compliance reviews and analyses to assess compliance with policies and regulatory requirements for LVIP, PM Funds, LFI and its sub-advisers.
• Supporting quarterly and annual testing of compliance policies and procedures to ensure effective implementation, documents results, and develops action plans for remediation of findings.
• Collaborating with appropriate stakeholders to ensure action plans capture and remediate the issues found during testing.
• Supporting periodic review of all compliance policies and procedures and related updates.
• Assisting the Enterprise AML Compliance team with administration of LVIP's, PM Funds' and LFI's AML programs.
• Supporting investment guideline and restriction monitoring through a post-trade surveillance system.
• Supporting LVIP's, PM Funds', and LFI's risk management programs by performing risk assessments, recommending risk scores, and maintaining risk inventories.
• Coordinating the review of sub-advisers' control reports, summarizing findings, and maintaining a calendar to ensure timely receipt and review.
• Supporting the administration of LVIP's, PM Funds', and LFI 's Code of Ethics programs including analyses of securities transactions and maintenance of required statements for those individuals subject to the Code.
• Preparing monthly, quarterly, and annual compliance reports to business partners and LVIP/PM Funds/LFI Board of Trustees/Directors.
• Establishing and maintaining effective relationships with business partners and service providers.
• Collaborating with colleagues on compliance projects as assigned.
• Identifying and recommending process improvements that may reduce workloads or improve quality.

Skills

Compliance experience

Regulatory knowledge

Testing & analysis

Education

Bachelor's degree or equivalent

Job description

Alternate Locations

Radnor, PA (Pennsylvania); Charlotte, NC (North Carolina); Fort Wayne, IN (Indiana); Greensboro, NC (North Carolina); Hartford, CT (Connecticut); Omaha, NE (Nebraska); Work from Home

Work Arrangement

Hybrid : Employee will work 3 days a week in a Lincoln office

Relocation assistance

is not available for this opportunity.

Requisition #

76287

The Role at a Glance

The Compliance Consultant is responsible for supporting Lincoln's Funds Management business team by implementing and maintaining complex compliance programs for Lincoln Variable Insurance Products Trust (LVIP), Lincoln Retail Private Market Funds (PM Funds), Lincoln Financial Investments Corporation (LFI), and Lincoln National Life's managed separate accounts. The Funds Management compliance team primarily oversees compliance with federal securities regulations relating to these companies/accounts and many supporting service providers including investment sub-advisors, principal underwriters, administrators, transfer agents, consultants, and others. Additionally, the Compliance Consultant is responsible for effective implementation of these compliance programs, with emphasis on policies and procedure testing and service provider oversight, while supporting all duties and responsibilities of Funds Management.

What you'll be doing

• Developing and performing compliance reviews and analyses to assess compliance with policies and procedures and regulatory requirements for LVIP, PM Funds, LFI and its sub-advisers.
• Supporting quarterly and annual testing of compliance policies and procedures to ensure effective implementation, documents results, and develops action plans for remediation of findings.
• Collaborating with appropriate stakeholders to ensure action plans capture and remediate the issues found during testing.
• Supporting periodic review of all compliance policies and procedures and related updates.
• Assisting the Enterprise Anti-Money Laundering (AML) Compliance team with the administration of LVIP's, PM Funds' and LFI's AML programs, including assistance with reviewing issues and alerts escalated by service providers.
• Supporting investment guideline and restriction monitoring through a post-trade surveillance system.
• Supporting LVIP's, PM Funds', and LFI's risk management programs by performing risk assessments, recommending risk scores, and maintaining risk inventories.
• Supporting the tracking of service providers' compliance policies and procedures, communicated through quarterly compliance questionaries or otherwise, and updating policies and procedures inventories in a timely manner.
• Coordinating the review of sub-advisers' control reports, summarizing findings, and maintaining a calendar to ensure timely receipt and review.
• Supporting the administration of LVIP's, PM Funds', and LFI 's Code of Ethics programs including analyses of securities transactions and maintenance of required statements for those individuals subject to the Code.
• Preparing monthly, quarterly, and annual compliance reports to business partners and LVIP/PM Funds/LFI Board of Trustees/Directors.
• Establishing and maintaining effective relationships with business partners and service providers.
• Collaborating with colleagues on compliance projects as assigned.
• Identifying and recommending process improvements that may reduce workloads or improve quality.
• Championing and enhancing organizational initiatives by positively influencing and supporting change management and/or departmental/enterprise initiatives.
• Serving as a resource and consulting with internal/external stakeholders on a broad variety of compliance matters/issues.
• Obtaining input from management as appropriate before making internal/external statements or providing information that could impact the corporation.
• Providing effective and open communication with internal/external stakeholders to ensure transparency and consistency of compliance actions.

What we're looking for

• 4 Year/Bachelor's degree or equivalent work experience (4 years of experience in lieu of Bachelor's) (Minimum Required)
• 3 - 5+ Years experience in compliance that directly aligns with the specific responsibilities for this position (Required)

Application Deadline

Applications for this position will be accepted through September 24, 2026, 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 $75,000 - $120,000 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 an 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 .

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 ("Lincoln" or "the Company") 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, age, national origin or disability. Opportunities throughout Lincoln are available to employees and 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 [phone].

This Employer Participates in E-Verify. See the E-Verify notices.

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