Compliance Counsel

We are trusted investment banking advisors to business owners and senior executives of leading private equity firms and public and privately held companies around the world. Our services include mergers and acquisitions advisory, private funds and capital markets advisory, and valuation and fairness opinions. As one tightly integrated team of more than 1,000 professionals across 15 countries, we offer an unmatched perspective on the global private capital markets, backed by superb execution and a deep commitment to client success. With extensive industry knowledge and relationships, timely market intelligence and strategic insights, we forge deep, productive client relationships that endure for decades. Learn more at www.lincolninternational.com.

At Lincoln International, we know that the success of our global organization is a direct outcome of the strength of our people. We encourage diversity of thought and create talent density by attracting, retaining and engaging high performers from all demographics, backgrounds and perspectives. We value diversity, equity and inclusion as a catalyst to foster innovation and creative problem solving, access the best candidates and adapt to a highly dynamic, competitive environment. We know that employing a diverse team and valuing the unique perspectives of our people allows us to better understand and serve the needs of our clients.

Lincoln International is committed to creating a diverse 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. We encourage you to read more about our commitment to diversity and Environmental, Social & Governance (ESG) efforts.

• Lincoln International follows a hybrid work structure with an emphasis on in office collaboration.
• Our employees work in our offices Monday through Thursday each week, with the option to work remotely or from the office on Fridays.

Duties & Responsibilities:

Based in the Chicago office, the Compliance Counsel will be an integral member of the Firm’s Legal & Compliance Department, reporting directly to the Firm’s Chief Compliance Officer & Deputy General Counsel (CCO). The Compliance Counsel will assist the CCO with oversight of the Firm’s U.S. broker dealer compliance program and the CCO and the European Head of Compliance (EHC) with global compliance initiatives.

Key Responsibilities Include The Following:

FINRA, SEC, Securities and Other Applicable Law Compliance

• Monitor the FINRA regulatory landscape to identify existing and emerging regulatory guidance and risks relevant to Lincoln.
• Conduct ongoing risk assessments of Lincoln’s broker dealer compliance policies and processes, and document and implement necessary remediations.
• Review and update Written Supervisory Procedures for U.S. offices on at least an annual basis to remain current with FINRA regulatory changes in conjunction with compliance consultants and regulatory counsel.
• Maintain Lincoln’s branch office inspection program, including conducting in-person office inspections of Lincoln’s U.S. offices per FINRA guidelines.
• With Lincoln’s Legal & Compliance Specialist, administer Lincoln's personal trading systems, including monitoring personal trading activities and overseeing electronic correspondence and investigating any issues relating to failure to pre-clear trades or trades on the Restricted List.
• Manage employee Outside Business Activity and Private Securities Transaction reviews as mandated by FINRA.
• Assist the CCO in managing the Firm’s Electronic Communications Program which includes formulating, deploying and maintaining policies, procedures, training and surveillance in support of the firm’s books & records.
• Investigate, document, and remediate issues of employee non-compliance with the Firm’s communications rules.
• Review new technology projects and vendor assessments to identify potential regulatory risks including potential supervisory requirements, electronic communications restrictions needed, and other policy control advice.
• Serve as the back-up for the review and approval of marketing materials in accordance with compliance requirements, the Firm's policies, and applicable regulatory regulations.
• Oversee maintenance of marketing compliance guidelines and remain current on developments to provide appropriate guidance and training to Marketing and other impacted groups.
• Assist the CCO in managing the Annual Compliance meeting process, including content preparation, meeting scheduling, and presentation to the Firm’s U.S. employees.
• Assist the CCO in evaluating new business lines and services with a focus on issue spotting on behalf of the broker dealer.
• Assist the CCO in evaluating acquisition opportunities and developing compliance integration plans related to the broker dealer.
• Ensure compliance with SEC and FINRA records retention requirements, including assisting the CCO, IT, and other functions in developing a comprehensive data retention policy.
• Attend relevant FINRA and industry conferences to remain current on FINRA regulatory environment.
• Attend CCO roundtable meetings with peer firms of Lincoln.

Regulatory Filings and Audits

• Assist the CCO in the preparation of required regulatory filings in the U.S. and responses to inquiries from U.S. regulators, including coordinating with employees to respond to regulatory requests regarding RAPP sheets and other disciplinary matters.
• Assist the CCO with all U.S. regulatory audits, including conducting annual internal compliance audits.
• Manage any regulatory approvals or licenses required for opening new offices or new business lines.

Other Compliance and Enterprise Risk Management

• Develop metrics and key performance indicators (KPIs) for various dashboard reporting, trends, and analysis to help track effectiveness and efficiencies of compliance programs.
• Review Commitment Committee memos to identify compliance issues and to serve as a “backstop” for adding public companies to the Restricted List, advise on any risks and update Commitment Committee Memo templates as necessary for compliance purposes.
• Assist the CCO and EHC with enhancing and auditing Lincoln’s global conflicts policies and process, including managing conflicts as they occur and evaluating processes as the Firm evolves.
• Assist the CCO and EHC with enhancing and auditing Lincoln’s Anti-Money Laundering and Know Your Client programs, including managing KYC issues as they arise.
• Assist the CCO with enhancing and auditing Lincoln’s vendor due diligence process, including managing vendor due diligence issues as they arise.
• Assist the Finance Department with emissions reporting compliance.
• Assist the CCO and Finance Department with insurance matters.
• Oversee the Firm’s outside AML audit in the U.S.
• Assist with responses to client due diligence requests.
• Assist CCO and other Legal Department members with privacy regulations, including the review and monitoring of business activities and vendor management to ensure compliance.
• Other tasks as necessary to provide compliance support to an evolving business.

Qualifications:

• JD from a top-tier program and a strong academic record.
• 3-5 years of broker dealer experience, either at a regulator, in-house, or a top-tier law firm, and have a strong understanding of FINRA, SEC and other relevant regulatory rules, regulations and guidelines as it pertains to broker dealer compliance program administration.
• FINRA Series 7 or 79 and 24 preferred, or willingness to take exams within the first two years of employment.
• Self-motivated and proactive in identifying compliance risks and implementing solutions.
• Ability to work independently and exercise judgment on complex matters.
• Strong verbal communication skills; ability to effectively communicate with bankers and regulators.
• Strong written communication skills.
• Ability to multi-task and balance a variety of projects simultaneously.
• Desire and willingness to take ownership of wide range of compliance and legal areas and develop expertise in consultation with the CCO and the General Counsel.

Benefits:

• Blue Cross Blue Shield PPO Insurance plan
• VSP Vision Insurance
• Delta Dental Insurance
• LTD, STD and Life Insurance
• 401K Plan and Profit Share
• Competitive salary
• End of year nominal, discretionary annual bonus

Additional Information:

Lincoln International is not currently hiring individuals for this position who now or in the future require sponsorship for employment visa status.

#Li-Hybrid

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The salary range for this role is $170,000-$190,000 on an annual basis. This is the lowest to highest salary we in good faith believe we would pay for this role at the time of this posting. We may ultimately pay more or less than the posted range, and the range may be modified in the future. This range is only applicable for jobs to be performed in Chicago. An employee’s pay position within the salary range will be based on several factors including, but not limited to, relevant education, qualifications, certifications, experience, skills, seniority, geographic location, performance, shift, travel requirements, revenue-based metrics, and business or organizational needs.  

This job is also eligible for bonus pay.

We offer a comprehensive package of benefits to eligible employees.

You can apply for this role through LinkedIn or Lincoln’s Company Page, or through Lincoln’s Internal Jobs Board if you are a current employee.

Note: No amount of pay is considered to be wages or compensation until such amount is earned, vested, and determinable. The amount and availability of any bonus, commission, or any other form of compensation that are allocable to a particular employee remains in the Company's sole discretion unless and until paid and may be modified at the Company’s sole discretion, consistent with the law.

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