Lincoln Investment
Manager, RIA Compliance
Lincoln Investment, Fort Washington, Pennsylvania, United States, 19034
Manager, RIA Compliance
Location: Fort Washington, PA (Hybrid)
Basic Functions: The Manager, RIA Compliance will assist with compliance functions relating to our investment advisory business. The individual will work closely with the Director, RIA Compliance on a day-to-day basis. The individual should have substantial knowledge or an eagerness to learn about compliance responsibilities of SEC-registered RIAs.
General Responsibilities:
* Support internal/external business associates on investment advisory compliance issues.* Lead process to identify, compile and categorize data for internal use, regulatory reporting, examinations and audits; assist with responding to regulatory requests, including preparation of documents and responding to inquiries during regulatory audits.* Lead day-to-day maintenance of the firm's Code of Ethics and its implementation, including for Access Persons; maintaining restricted lists, trade monitoring and implementation of preclearance policies; monitor pay-to-play and other state/local political contributions.* Data management, including the collection, analysis and testing of results.* Participate in review and vetting of advisor discretionary authorization requests.* Identify, prioritize, and elevate risks related to managed accounts, third party relationships, or general conflicts of interest.* Assist Director, RIA Compliance as needed with special/ad-hoc assignments. Participate in departmental and corporate projects and initiatives as requested.* Manage day-to-day demands and workflow, including ad-hoc requests/issues that arise during the course of business.* Support management of Independent RIA activity, compliance, and recordkeeping.* Collaborate with the investment management and research team regarding new business, marketing, operations, finance and technology to create and refine policies and procedures in areas such as best execution, custody, wrap fee programs, due diligence, performance reporting, proxy voting and advertising. Act as compliance liaison to Investment Committee and/or other internal departments.* Serve as subject matter expert for advisory compliance-related questions from financial representatives, team members, and across the organization regarding rules and firm policies relating to investment advisory business.
Qualifications/Requirements:
* 5-8 years of investment advisory experience with direct or indirect exposure to compliance, or industry experience with exposure/general knowledge of compliance.* Basic knowledge of the Investment Advisers Act, SEC rules and regulations.* Proficiency in MS Office (Word, Excel, PowerPoint). Exposure to Microsoft Access helpful.* Attention to detail, with the ability to analyze data, identify trends and escalate matters appropriately.* Critical thinking skills, solid logic and curiosity.* Exceptional initiative and independent follow-up skills.* Strong written and oral communication skills; customer service oriented.* Organizational and time management skills; ability to prioritize and manage multiple projects.* Accurate, timely, and thorough recordkeeping.* Experience with SunGard PTA or other personal trading programs, as well as AS/400 computer systems a plus.* Series 7, 24 and 66 required. (Successful candidates who do not possess a Series 7, 24 and/or 65/66 registration at time of hire will have twelve (12) months to obtain registrations).* Bachelor's degree
Physical/Other Requirements:
* May sit at workstation for extended periods of time.* May view computer screen for extended periods of time.* Periods of fast pace are normal particularly when working to meet deadlines.
Lincoln Investment recognized as one of Philadelphia's Top Workplaces for fifteen years, is an independent broker dealer and registered investment advisor that offers brokerage, investment advisory and other financial services. Lincoln has over 1,000 financial advisors nationwide and we serve over 350,000 clients representing over $36 billion in assets. We are a majority family-owned financial services firm that regards our employees as integral players in our continuous growth. Lincoln Investment's success is built upon our dedication to helping people retire well and promoting a work environment that fosters success. Our financial strength and profitability are natural results of "helping people, having fun, and enjoying success." Lincoln Investment offers a competitive compensation and benefits package. Our Home Office is conveniently located in Fort Washington, PA, just outside of Philadelphia.
Lincoln Investment is an equal opportunity employer. Lincoln Investment prohibits discrimination and harassment of any type and affords equal employment opportunities to employees and applicants without regard to race, color, religion, sex, sexual orientation, gender identity or expression, pregnancy, age, national origin, disability status, genetic information, protected veteran status, or any other characteristic protected by law. Lincoln Investment conforms to the spirit as well as to the letter of all applicable laws and regulations.
Location: Fort Washington, PA (Hybrid)
Basic Functions: The Manager, RIA Compliance will assist with compliance functions relating to our investment advisory business. The individual will work closely with the Director, RIA Compliance on a day-to-day basis. The individual should have substantial knowledge or an eagerness to learn about compliance responsibilities of SEC-registered RIAs.
General Responsibilities:
* Support internal/external business associates on investment advisory compliance issues.* Lead process to identify, compile and categorize data for internal use, regulatory reporting, examinations and audits; assist with responding to regulatory requests, including preparation of documents and responding to inquiries during regulatory audits.* Lead day-to-day maintenance of the firm's Code of Ethics and its implementation, including for Access Persons; maintaining restricted lists, trade monitoring and implementation of preclearance policies; monitor pay-to-play and other state/local political contributions.* Data management, including the collection, analysis and testing of results.* Participate in review and vetting of advisor discretionary authorization requests.* Identify, prioritize, and elevate risks related to managed accounts, third party relationships, or general conflicts of interest.* Assist Director, RIA Compliance as needed with special/ad-hoc assignments. Participate in departmental and corporate projects and initiatives as requested.* Manage day-to-day demands and workflow, including ad-hoc requests/issues that arise during the course of business.* Support management of Independent RIA activity, compliance, and recordkeeping.* Collaborate with the investment management and research team regarding new business, marketing, operations, finance and technology to create and refine policies and procedures in areas such as best execution, custody, wrap fee programs, due diligence, performance reporting, proxy voting and advertising. Act as compliance liaison to Investment Committee and/or other internal departments.* Serve as subject matter expert for advisory compliance-related questions from financial representatives, team members, and across the organization regarding rules and firm policies relating to investment advisory business.
Qualifications/Requirements:
* 5-8 years of investment advisory experience with direct or indirect exposure to compliance, or industry experience with exposure/general knowledge of compliance.* Basic knowledge of the Investment Advisers Act, SEC rules and regulations.* Proficiency in MS Office (Word, Excel, PowerPoint). Exposure to Microsoft Access helpful.* Attention to detail, with the ability to analyze data, identify trends and escalate matters appropriately.* Critical thinking skills, solid logic and curiosity.* Exceptional initiative and independent follow-up skills.* Strong written and oral communication skills; customer service oriented.* Organizational and time management skills; ability to prioritize and manage multiple projects.* Accurate, timely, and thorough recordkeeping.* Experience with SunGard PTA or other personal trading programs, as well as AS/400 computer systems a plus.* Series 7, 24 and 66 required. (Successful candidates who do not possess a Series 7, 24 and/or 65/66 registration at time of hire will have twelve (12) months to obtain registrations).* Bachelor's degree
Physical/Other Requirements:
* May sit at workstation for extended periods of time.* May view computer screen for extended periods of time.* Periods of fast pace are normal particularly when working to meet deadlines.
Lincoln Investment recognized as one of Philadelphia's Top Workplaces for fifteen years, is an independent broker dealer and registered investment advisor that offers brokerage, investment advisory and other financial services. Lincoln has over 1,000 financial advisors nationwide and we serve over 350,000 clients representing over $36 billion in assets. We are a majority family-owned financial services firm that regards our employees as integral players in our continuous growth. Lincoln Investment's success is built upon our dedication to helping people retire well and promoting a work environment that fosters success. Our financial strength and profitability are natural results of "helping people, having fun, and enjoying success." Lincoln Investment offers a competitive compensation and benefits package. Our Home Office is conveniently located in Fort Washington, PA, just outside of Philadelphia.
Lincoln Investment is an equal opportunity employer. Lincoln Investment prohibits discrimination and harassment of any type and affords equal employment opportunities to employees and applicants without regard to race, color, religion, sex, sexual orientation, gender identity or expression, pregnancy, age, national origin, disability status, genetic information, protected veteran status, or any other characteristic protected by law. Lincoln Investment conforms to the spirit as well as to the letter of all applicable laws and regulations.