Lincoln Investment recognized as one of Philadelphia’s Top Workplaces for fifteen years, is an independent broker dealer and registered investment advisor that offers brokerage, investment advisory and other financial services. Lincoln has over 1,000 financial advisors nationwide and we serve over 350,000 clients representing over $36 billion in assets. We are a majority family-owned financial services firm that regards our employees as integral players in our continuous growth. Lincoln Investment’s success is built upon our dedication to helping people retire well and promoting a work environment that fosters success. Our financial strength and profitability are natural results of “helping people, having fun, and enjoying success.” Lincoln Investment offers a competitive compensation and benefits package. Our Home Office is conveniently located in Fort Washington, PA, just outside of Philadelphia.
Basic Function: Person will perform multiple compliance tasks, with primary responsibility in the following areas:

Anti-Money Laundering Compliance

• Perform periodic (e.g., daily, weekly, monthly, etc.) and ad-hoc Anti-Money Laundering (AML) Compliance reviews to detect and prevent money laundering and any other forms of fraud.
• Conduct ad-hoc investigations into unusual and potentially suspicious activity. Handle applicable government filings regarding the reporting of suspicious activity.
• Assist the AML Compliance Officer in overseeing and administering the analysis, review and implementation of Lincoln Investment’s AML policies and procedures.
• Assist the AML Compliance Officer in creating and updating the new hire and annual AML training program.

Identity Theft/Fraud Prevention

• Handle the day-to-day Compliance Department responsibilities with regard to security incidents and identity theft (i.e., incident response).
• Assist the AML Compliance Officer in creating and updating the new hire and annual ID Theft Prevention training program.

Senior/Vulnerable Adult Program

• Assist the Senior/Vulnerable Adult Compliance team with incident research and response on potential exploitation cases.

EXPERIENCE:

• 1 to 3 years BD and/or RIA compliance experience minimum; 3 to 5 years preferred
• AML compliance experience preferred; AML certifications a plus.
• Knowledge of AML Rules and Regulations and/or AML Banking experience
• Knowledge of AML software vendor systems a plus (e.g., Actimize)
• Basic knowledge of BD and RIA rules and regulations
• Proficiency with Microsoft Office 365 applications, including Outlook, Excel, Word, and Teams, as well as cloud-based collaboration and file management tools such as OneDrive and SharePoint.
• Analyzing, interpreting, and manipulating large data sets using Microsoft Excel including advanced functions such as pivot tables, lookups, formulas, and data visualization to support AML investigations and compliance reporting.
• Writing letters, compliance memorandum, and/or policies and procedures.
• Creating presentations in Microsoft PowerPoint or comparable software program.

SKILLS:

• Organizational and time management skills (e.g., ability to manage multiple priorities).
• Ability to analyze data and identify problematic trends or suspicious behavior.
• Instincts on how to identify and respond to fraud incidences.
• Written and verbal communication skills.
• Critical thinking skills.
• Customer relations orientation.
• Attention to detail orientation.
• Self-motivated and able to work independently.
• Experience conducting interviews to gather information and assess potential compliance concerns.

EDUCATION AND CERTIFICATION/REGISTRATION:

• Bachelor’s degree in a related field or the equivalent combination of education and/or experience.
• Series 7 required and/or comparable securities industry experience. (Successful candidates who do not possess license at time of hire will have 12 months to obtain license(s). CAMS (Certified Anti-Money Laundering Specialist) certification is a plus.

PHYSICAL/OTHER REQUIREMENTS:

• May sit at workstation for extended periods of time.
• May view computer screen for extended periods of time.
• Periods of fast pace are normal particularly when working to meet deadlines or handling incident responses.
  Lincoln Investment is an equal opportunity employer. Lincoln Investment prohibits discrimination and harassment of any type and affords equal employment opportunities to employees and applicants without regard to race, color, religion, sex, sexual orientation, gender identity or expression, pregnancy, age, national origin, disability status, genetic information, protected veteran status, or any other characteristic protected by law. Lincoln Investment conforms to the spirit as well as to the letter of all applicable laws and regulations

AML Compliance

• Primary responsibility is to perform daily, weekly and monthly AML Compliance functions to ensure:
• Compliance with SEC and FINRA AML rules and regulations
• Compliance with the USA Patriot Act, Bank Secrecy Act, and OFAC regulations
• Implementation and Operation of the firm’s AML Compliance Program
• Implementation and Operation of the firm’s Customer Identification Program
• Administration of the firm’s monitoring, detecting, and reporting of SAR filings
• Administration and compliance with mandatory information sharing (in response to requests from federal law enforcement)
• Implementation of Lincoln’s AML training program

Identity Theft/Fraud Prevention

• Primary responsibility is to handle reported incidences of identity theft using established security incident protocol. This includes: conducting a risk assessment of the severity of the incident; communicating with relevant parties to effectively respond to the incident; taking immediate action when necessary to secure client funds or retrieve stolen funds; conducting an investigation; and any other steps necessary to resolve the issue.

Senior/Vulnerable Adult Cases

• Primary responsibility is to assist the team with any cases that involve a security incident. Typically this includes research and incident response tasks related to cases of potential exploitation.

Other

• Special projects for the Compliance Department as needed.
• Role requires the ability to detect non-compliance and communicate with advisers, employees, clients, and regulators. Person must be capable of answering questions regarding compliance rules and regulations, and making decisions with regard to the ongoing compliance of the firm.