Lincoln Financial | Compliance Consultant

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.
• 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.
• Applications for this position will be accepted through September 24, 2026, subject to earlier closure due to applicant volume.
• 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.
• 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.
• Providing effective and open communication with internal/external stakeholders to ensure transparency and consistency of compliance actions.
• Leadership development and virtual training opportunities.
• Work arrangements that work for you.
• 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.
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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).
• Effective productivity/technology tools and training.

Lincoln Financial

Lincoln Financial is an employer hiring in India (sector: BFSI / Investments / Insurance). In its own words: "Lincoln Financial Group provides resources and solutions that help empower Americans to take charge of their financial lives with confidence and optimism."

Its finance, accounts, audit and tax openings in India are mostly in Radnor, Charlotte, Omaha and Hartford.

• Industry: BFSI / Investments / Insurance