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Carrot Peelers, Sales, Personality and Your Job Search
In-House
Attorney
Government / Public Law
Litigation - Whistleblower - CFTC
Min 15 yrs required
SVP, Chief Compliance Officer Duties: Provides executive leadership and strategy to Financial Group’s compliance, risk management, control and governance functions. Act as a key resource to the Board of Directors and senior management, providing advice and counsel of board responsibilities, logistics, and corporate governance. Develops an overall strategic vision for the compliance functional areas. Establishes the compliance organizational goals, objectives, metrics and operating procedures. Ensures compliance and risk areas are meeting all objectives pertaining to quality, compliance, regulations, productivity, customer service, budget, and project management. Ensures compliance operational plans are aligned with Group’s overall business plans and specific strategic and tactical initiatives. Assesses, identifies, communicates, and provides legal advice proactively to executive leadership on current and anticipated compliance risks and their associated impacts; and current/emerging issues, trends, and regulatory/statutory changes facing the enterprise. Recommends mitigation strategies. Designs, implements, and maintains effective internal and disclosure controls and procedures intended to prevent unethical and illegal conduct. Provides legal advice on new products and on how changes in regulations may affect documentation and legal procedures. Ensures compliance obligations under relevant laws and the requirements of regulatory authorities are met. Oversees the proactive investigation, analysis & documentation of areas of possible regulatory concern for his/her area of responsibility. Oversees the assessment & enhancement of existing compliance programs to ensure that it fully meets its obligations of general & specific compliance risks for his/her assigned area(s) of responsibility. Leads the development & execution of strategic & consistent approaches to compliance reviews, issues and/or concerns to minimize the enterprise’s exposure. Maintains knowledge of regulatory rules and requirements and emerging issues/trends to ensure ongoing legal compliance. Supports business strategies and initiatives by representing Group at various Federal, State, and Local regulatory bodies and at industry associations and functions serving as a “thought leaderâ€. Builds organizational capability within the legal and compliance areas Ensures that top talent is hired, developed and retained. Provides training opportunities legal and compliance employees and gives honest and open feedback to aid in the development of talent. Carries out duties in compliance with all state and federal regulations and guidelines. Complies with all company and site policies and procedures. Remains current in profession and industry trends. Makes a positive contribution as demonstrated by: Making suggestions for improvement. Learning new skills, procedures and processes. Performs other duties as required.
Qualification and Experience
Qualifications: JD Degree. 15+ years of progressively more responsible experience in securities, corporate governance and corporate transactions, including 5+ years of experience in a senior legal. leadership and strategy role influencing senior management and critical stakeholders; Senior in-house corporate experience preferred. Direct experience working with disclosure committee and Board of Directors. Sound knowledge of organization effectiveness. Strong knowledge of insurance and financial services specific law is a plus. Ability to understand and analyze financial reports. Comprehensive understanding of the financial services industry and its business models a plus. Deep working knowledge and understanding of key driver/levers of business. Thorough understanding of compliance. Strong project management experience. Demonstrated experience in law and compliance. Demonstrated experience as a “thought leaderâ€. Will be able to demonstrate being sought after for advice, counsel, and judgment. Deep understanding and application of insurance and financial industry specific accounting, finance processes. Demonstrated experience in developing strategic initiatives and plans which have benefited a company’s top and bottom lines. Critical thinker with an ability to analyze information and to evaluate the implications of a course of action or strategy. Understands the interdependencies of how people and organizations function, and can negotiate through complex political situations effectively. Demonstrated ability to build and maintain relationships at all levels of a matrixed organizations. Finds common ground and can gain collaboration among senior management, colleagues and peers; can influence outcomes without directing or commanding. Excellent relationship management skills with internal clients (i.e. executive management, peers, and colleagues) and external clients (Analyst, Investors, and LFG Board of Directors); proven ability to develop creative and collaborative approaches to driving client-focused solutions which also benefited the company’s top and bottom lines. Excellent written/oral communication skills. Demonstrated experience in motivating others in a team-oriented, collaborative environment. Extensive experience advising large public companies on legal compliance and corporate governance matters. Demonstrated ability to influence at all levels of management through clear, informed and logical discussions/presentations. Strong interpersonal skills with collaborative management style. Ability to understand Lincoln Financial Group’s internal and external customers and address their needs.
Requisition #16301
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