VP, Lincoln Financial Securities
Company: Lincoln Financial Services
Location: Lincoln
Posted on: May 28, 2023
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Job Description:
Alternate Locations: Philadelphia, PA (Pennsylvania); Radnor, PA
(Pennsylvania); US Northeast
Work Arrangement:
Hybrid/Common Days+ : Work 2-3 days a week in a Lincoln office with
a designated workspace.
Relocation assistance: is not available for this opportunity.
Requisition #: 69428
Role at a glance
The Vice President, Lincoln Financial Securities Corporation (LFSC)
provides executive and strategic leadership to the Lincoln
Financial Network's independent broker dealer. He/she will lead all
activities of the securities clearing operations. He/she will also
ensure the identification and management of LFS and Service
Excellence's regulatory capital and risk/exposure as mandated under
FINRA and SEC guidelines. In addition, he/she will establish and
maintain investment products and advisory platforms and
services.
What you would be doing
Develops an overall strategic vision for the Lincoln Financial
Securities Corporation
Establishes LFSC organizational goals, objectives, and operating
procedures.
Ensures the effective implementation, integration, and execution of
LFSC's strategic plan initiatives.
Leads LFSC's focus on internal and external (i.e. business
partners, advisors, brokers, traders) customer service at every
touch point while simultaneously delivering operational
effectiveness.
Ensures LFSC operational plans are aligned with Lincoln Financial
Group's (LFG) overall business plans and specific strategic and
tactical initiatives.
Formulates, communicates and implements strategies, policies,
procedures and systems to minimize risk to enterprise and its
groups while balancing the needs of the broker/traders.
Ensures the appropriate controls (financial, operational
effectiveness, efficiency, quality, and regulatory controls) are
implemented and maintained within LFSC.
Establishes and implements policies and procedures to ensure all
financial representatives are meeting the standards and
requirements set by regulatory agencies and Lincoln Financial Group
(LFG) compliance.
Ensures the documentation and explanation of operational models for
regulators as well as independent and internal auditors.
Ensures the preparation and accuracy of various SEC & FINRA
required reports.
Leads the management of operational risk though the application of
internal controls and regular risk assessment reviews.
Ensures documentation and monitoring of compliance related matters;
meeting or exceeding all regulatory agency guidelines and standards
as well customer requirements.
Ensures the monitoring of all activities of clearing relationships
including funds, settlement, margin and delivery.
Reviews and assess the impact on regulatory capital of various
business unit trading strategies and transactions. Makes practical
recommendations to optimize its use.
Participates in new product initiatives, serving as an educational
resource as it relates to regulatory capital and any exposure
consistent with new transaction types and product offerings.
Ensures the appropriate resolution of trade breaks and
discrepancies, trade exception management and settlement fails.
Ensures the timely and accurate execution of clearing cycle through
Depository Trust Clearing Corporation (DTCC).
Ensures the effective handling of defaults in a seamless making
certain that the settlement process is affected without any
delay.
Directs the due diligence of investment products and advisory
platforms/services to craft profitable short and long-term business
strategies across areas of responsibility.
Ensures and coordinates the proper design, development and
implementation of advisory platforms and services.
Directs the management of profitability and risk management of
investment products and advisory platforms and services.
Directs the relationships between LFN and investment and advisory
product producers.
Ensures the development and maintenance of an effective
organization for area(s) of responsibility, including: efficient
work flow patterns; established performance standards; effective
delineation of duties and responsibilities; suitable staffing
levels; appropriate supervision; and systems for timely
communication of pertinent information.
Monitors all call, broker/dealer processing centers, and related
operations in a high volume environment to ensure proper service
levels.
Ensures cost effective operations supported by continuous
operational improvements.
Maintains knowledge of current trends in advisor experience
approaches to ensure that new developments are incorporated in
future strategies of the Company.
#LI-HYBRID
Additional Position Responsibilities
Carries out duties in compliance with all state and federal
regulations and guidelines. Complies with all company and site
policies and procedures.
Performs other duties as required.
Makes a positive contribution as demonstrated by: - Making
suggestions for improvement - Learning new skills, procedures and
processes
Remains current in profession and industry trends.
Other Skills and Abilities
Ability to perform under stress in cases of emergency, critical or
hazardous situations.
Ability to work with others in a team environment.
Demonstrated ability to identify, develop and implement processes
improvements.
Demonstrated ability to successfully hire, retain, develop and
coach staff via a culture of real-time performance feedback, with
ability to build both technical and leadership skills.
Demonstrated strong relationship management skills with internal
clients (e.g. senior/executive management, peers and colleagues);
proven ability to develop creative and collaborative
approaches.
Demonstrates strong interpersonal skills with a collaborative
style.
Demonstrates strong project management leadership skills including,
critical ability to coordinate and balance multiple projects in a
time-sensitive environment, under pressure, and meeting
deadlines.
Proficiency with Microsoft Office Suite (Word, Excel, PowerPoint,
Outlook).
Successfully completes regulatory and job training
requirements.
Education
4 Year/Bachelor's degree or equivalent work experience (4 years of
experience in lieu of Bachelor's) - Minimum Required
Certifications
Series License-7 -Upon Hire
Series License-24 -Upon Hire
Experience
12+ Years 12+ years experience in brokerage/financial services
including significant field-facing experience and 5+ senior
management experience in a large complex organization including
influencing senior management and critical stakeholder
responsibility. (Required )
What's it like to work here?
At Lincoln Financial Group, 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:
Pay Range: $169,701 - $306,200
Actual base pay could vary 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 Group, a Fortune 200 company with over 10,000
employees, provides advice and solutions that help empower
Americans to take charge of their financial lives with confidence.
Our core business areas - Life Insurance, Annuities, Retirement
Plan Services and Group Protection - focus on supporting,
preserving and enhancing over 17 million customer's lifestyles and
retirement outcomes.
Headquartered in Radnor, Pennsylvania, Lincoln Financial Group is
the marketing name for Lincoln National Corporation (NYSE: LNC) and
its affiliates. The company had $324 billion in end-of-period
account values as of June 30, 2021.
Ranked one of the Best Large Employers in America and Best
Employers for Women by Forbes magazine as well as one of Newsweek's
Most Responsible Companies, Lincoln Financial Group makes a serious
investment in our employees' futures through a broad range of
wealth accumulation and protection plans, health and wellness
programs, and career development resources designed to help each
individual reach their personal and professional goals.
Lincoln is committed to creating a diverse and 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.
Lincoln Financial Group is a committed corporate citizen included
on major sustainability indices including the Dow Jones
Sustainability Index North America and FTSE4Good. Dedicated to
diversity and inclusion, we earned perfect 100 percent scores on
the Corporate Equality Index and the Disability Equality Index.
Follow us on Facebook, Twitter, LinkedIn, and Instagram. Sign up
for email alerts at http://newsroom.lfg.com
Be Aware of Fraudulent Recruiting Activities
If you are interested in a career at Lincoln, we encourage you to
review our current openings and apply on our website. Lincoln
values the privacy and security of every applicant and urges all
applicants to diligently protect their sensitive personal
information from scams targeting job seekers. These scams can take
many forms including fake employment applications, bogus interviews
and falsified offer letters.
Lincoln will not ask applicants to provide their social security
numbers, date of birth, bank account information or other sensitive
information in job applications. Additionally, our recruiters do
not communicate with applicants through free e-mail accounts
(Gmail, Yahoo, Hotmail) or conduct interviews utilizing video chat
rooms. We will never ask applicants to provide payment during the
hiring process or extend an offer without conducting a phone, live
video or in-person interview. Please contact Lincoln's fraud team
at fraudhotline@lfg.com if you encounter a recruiter or see a job
opportunity that seems suspicious.
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/candidate profiles submitted through our
web site or to personal e-mail accounts of employees of Lincoln
Financial Group are considered property of Lincoln Financial Group
and are not subject to payment of agency fees.
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, Veteran 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.
This Employer Participates in E-Verify. See the E-Verify
notices.
Este Empleador Participa en E-Verify. Ver el E-Verify avisos.
Keywords: Lincoln Financial Services, Lincoln , VP, Lincoln Financial Securities, Accounting, Auditing , Lincoln, Nebraska
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