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Posted: Saturday, February 3, 2018 9:31 PM

Alternate Locations: Fort Wayne, IN \\(Indiana\\); Greensboro, NC \\(North Carolina\\); Philadelphia, PA \\(Pennsylvania\\)
Relocation assistance is not available for this opportunity\\.
Requisition \\#46282
**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 Role**
The Assistant Vice President, Anti\\-Money Laundering Compliance will be responsible for strategic leadership and direction with respect to all functions and internal controls for the Anti\\-Money Laundering \\(AML\\) Program for Lincoln s two retail broker\\-dealers, Lincoln Financial Advisors Corp\\. \\(LFA\\) and Lincoln Financial Securities Corp\\. \\(LFS\\) \\(collectively referred to as Lincoln Financial Network, or LFN\\)\\. The AVP will be the designated AML compliance officer under FINRA Rule 3310 and will lead a team of anti\\-money laundering compliance specialists\\. The AVP will closely monitor the regulatory environment as well as LFN s businesses to ensure that risks are appropriately addressed\\. The AVP will also closely engage with the AML officer for Lincoln s life insurance, annuities, retirement plan services and group protection businesses to develop processes and procedures to ensure a consistent approach to anti\\-money laundering and fraud across the Lincoln enterprise\\.
**Responsibilities**
Strategy
+ Overall responsibility for LFN s AML program, including strategic direction and day\\-to\\-day implementation and monitoring of LFN s AML controls, including customer information program \\(CIP\\), investigations, and transaction monitoring\\.
+ Leads and provides direction to a team of AML compliance specialists\\.
+ Responsibility for LFN AML program s compliance with applicable regulations; closely monitors regulatory developments and continuously analyzes LFN s AML program to address potential risks; communicates key AML regulatory developments to LFN stakeholders\\.
+ Drives AML\\-related initiatives and advocates for positive change to strengthen the control environment; effectively influences key stakeholders and leverages resources to execute significant initiatives within specific budgets and time periods\\.
+ Responsibility and oversight for the LFN AML team s systems and controls, including its information technology platforms relating to case management, CIP, and transaction monitoring; leads efforts to identify potential new products, enhancements, upgrades and opportunities to reduce AML risk\\.
AML Training
+ Responsibility for developing appropriate AML training across LFN, including as part of firm element training and at various in\\-person meetings throughout the year; develops AML\\-related sections of the annual compliance questionnaires\\.
+ Responsibility for developing formal and day\\-to\\-day training opportunities for the LFN AML team\\.
Governance
+ Responsibility for LFN s AML\\-related policies and procedures and its AML manual\\.
+ Drives the AML risk assessment process and recommends policy changes based on LFN s business and risk profile, industry trends, and regulatory developments relating to AML compliance\\.
+ Responsibility for periodic reporting to senior leadership on AML\\-related matters\\.
Relationships
+ Establishes relationships with LFN leadership, supervisory principals, registered representatives, operations and legal/compliance personnel and is LFN s point person for issues relating to anti\\-money laundering and potential fraud\\.
+ Primary point of contact for regulatory interactions related to AML, OFAC and FinCEN, including with FINRA and the SEC\\.
+ Closely engages with Lincoln s AML officer for its life insurance, annuities, retirement plan services, and group protection businesses, to drive consistency across Lincoln s entire AML program; develops cross\\-training programs to enable AML compliance specialists to effectively perform AML functions regardless of the Lincoln business unit to which such functions apply\\.
+ Builds and maintains industry relationships to keep informed as to relevant developments; facilitates or participates in AML roundtables; participates in company and industry forums and events, such as those sponsored by SIFMA, FINRA and FSI\\.
Talent Management
+ Provides leadership and mentoring to AML team members in developing and achieving career and development goals\\.
+ Develops and contributes to Lincoln s overall strategies guided by enterprise objectives and goals, highlighting a commitment to excellence, continuous improvement, and a diverse and inclusive workforce, market and community\\.
+ Invites and encourages dialogue with and among peers to increase understanding of differing points of view, strengthen team cohesion and promote good decision making\\.
+ Views the organization s future with optimism; coaches peers on how to use optimism to engage employees and increase discretionary effort\\.
**Requirements**
Education
+ Undergraduate degree or 4\\+ years of comparable work experience\\.
+ FINRA Series 7, 24 required\\.
Experience
+ Minimum of 10 years of experience in AML compliance or similar function that directly aligns with the specific responsibilities for this position\\.
+ Demonstrated ability to work efficiently and effectively with legal and compliance team members and with business leaders at multiple levels of an organization\\.
+ Demonstrated understanding of anti\\-money laundering rules and regulations applicable to registered broker\\-dealers, including those promulgated by FinCEN, the SEC and FINRA\\.
+ Superior oral and written communication skills and project management skills\\.
+ Ability to effectively present information and respond to questions from diverse audiences\\.
+ Ability to manage projects, create and execute on timetables and collect and manage feedback from diverse groups of legal and business colleagues\\.
+ Ability to gauge the level of detail appropriate for different audiences\\.
+ Ability to gather facts from various sources and take initiative to get information that is not provided\\.
+ Subscribes to and demonstrates actions consistent with trusted advisor/strategic partner/collaborative operating models\\.
+ Possesses and demonstrates qualities such as integrity, professionalism, leadership, judgment, initiative, follow\\-through, strong work ethic, reliability, strategic thinking, ability to execute flawlessly, ability to work independently, project management skills, relationship skills, team player and respect for others\\.
+ Ability to understand strategic vision of legal/compliance and business leaders and to align actions and execute accordingly\\.
+ Has a keen awareness of the regulatory environment and industry best practices and brings a proactive and flexible approach to the position
+ Computer skills: Microsoft Office Suite \\(Word, Excel, PowerPoint & Outlook\\)\\.\\#LI\\-CG1
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\\.
Lincoln Financial Group \\( LFG \\) 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 \\(including pregnancy\\), age, national origin, disability, sexual orientation, gender identity and expression, veterans status, or genetic information\\. 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 260\\-455\\-2558\\.
Lincoln Financial Group (\"LFG\") 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 (including pregnancy), age, national origin, disability, sexual orientation, gender identity and expression, veterans status, or genetic information. Opportunities throughout LFG are available to employees and applicants and are evaluated on the basis of job qualifications. We have a drug free work environment and we perform pre-employment substance abuse testing.
Associated topics: assistant, associate, document, front office, operational assistant, operational support, operations director, records management, staff, support

Source: http://www.jobs2careers.com/click.php?id=4876155177.96


• Location: South Jersey

• Post ID: 53570892 southjersey
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