Manager, RIA Compliance

Lincoln Investment Planning Company - Fort Washington, PA

Full-time - Mid Level

Fort Washington, PA

501-1,000 employees

Credit Intermediation and Related Activities

About the position

The Manager, RIA Compliance will assist with compliance functions related to the investment advisory business at Lincoln Investment. This role involves working closely with the Director of RIA Compliance to ensure adherence to SEC regulations and internal policies, while also managing day-to-day compliance operations and supporting various business units.

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.
• Maintain restricted lists, trade monitoring and implementation of preclearance policies.
• Monitor pay-to-play and other state/local political contributions.
• Manage data 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 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 investment management and research teams to create and refine policies and procedures.
• 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 and team members.

Requirements

• 5-8 years of investment advisory experience with direct or indirect exposure to compliance.
• Basic knowledge of the Investment Advisers Act, SEC rules and regulations.
• Proficiency in MS Office (Word, Excel, PowerPoint).
• Attention to detail, with the ability to analyze data, identify trends and escalate matters appropriately.
• Strong written and oral communication skills; customer service oriented.
• Organizational and time management skills; ability to prioritize and manage multiple projects.
• Series 7, 24 and 66 required.

Nice-to-haves

• Experience with SunGard PTA or other personal trading programs.
• Exposure to Microsoft Access helpful.
• Critical thinking skills, solid logic and curiosity.
• Exceptional initiative and independent follow-up skills.

Benefits

• Competitive compensation and benefits package.
• Opportunity to work in a family-owned financial services firm.
• Recognition as one of Philadelphia's Top Workplaces for fifteen years.