Posted: Friday, May 12, 2017 11:16 AM
Alternate Locations: Boston, MA (Massachusetts); Buffalo, NY (New York); Hartford, CT (Connecticut); Philadelphia, PA (Pennsylvania); Pittsburgh, PA (Pennsylvania); Rochester, NY (New York); Rye Brook, NY (New York); Syosset, NY (New York)
Relocation assistance is not available for this opportunity.
About the Company
Lincoln Financial Group provides advice and solutions that help empower people to take charge of their financial lives with confidence and optimism. Today, more than 17 million customers trust our retirement, insurance and wealth protection expertise to help address their lifestyle, savings and income goals, as well as to guard against long:term care expenses. Headquartered in Radnor, Pennsylvania, Lincoln Financial Group is the marketing name for Lincoln National Corporation (NYSE: LNC) and its affiliates.
The Supervision Specialist will perform and deliver on routine assignments/projects while simultaneously leveraging and applying knowledge of his/her assigned area(s) of responsibility. They will develop and execute supervisory plans for his/her assigned area(s) of responsibility.
:Develops and performs supervisory reviews and analysis to assess compliance with internal controls and regulatory requirements for his/her assigned area(s) of responsibility.
:Identifies and communicates risks to management.
:Escalates identified risks to management as needed.
:Develops and maintains supervisory review documentation.
:Manages, conducts and/or participates in supervisory projects for his/her assigned area(s).
:Provides effective and open communication with internal/external stakeholders to ensure transparency and consistency of supervisory actions.
:Prepares responses for audit inquiries for his/her assigned area(s).
:Prepares updates and/or files applicable supervisory reports, forms, and/or contracts for his/her assigned area(s).
:Performs analysis and communicates recommended changes as a result of new and/or revised State and Federal laws and regulations affecting for his/her assigned area(s).
:May draft, and/or file all applicable forms and/or applications by identifying and complying with supervisory requirements within for his/her assigned area(s).
:Undergraduate degree or 4+ years work experience that directly aligns with the specific responsibilities for this position
:FINRA Series 7, 63 preferred
:1:3 years' experience in the financial services industry that directly aligns with the specific responsibilities desirable
:Proven skills in risk:assessment and commitment to proper supervisory documentation
: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.
:Ability to evaluate information and the implications of a course of action or solution.
:Ability to interpret and apply common sense understanding to carry out a variety of instructions furnished in written, oral, or diagram form.
:Ability to solve problems and deal with a variety of concrete variables in situations where only limited standardization exists.
:Define problems, collect data, establish facts and draw valid conclusions.
:Evaluate trends in data or information.
:Ability to perform under stress in cases of emergency, critical or hazardous situations.
:Ability to work with others in a team environment.
:Demonstrates solid project management skills including, critical ability to coordinate and balance multiple projects in a time:sensitive environment, under pressure, and meeting deadlines.
:Demonstrates strong interpersonal skills with a collaborative style.
:Demonstrates the ability to use sound judgment and discretion regarding confidential inform
• Location: Rochester
• Post ID: 24839703 rochester