AVP, Broker-Dealer & Investment Advisor Counsel

Alternate Locations: Radnor, PA (Pennsylvania); Charlotte, NC (North Carolina); Fort Wayne, IN (Indiana); Greensboro, NC (North Carolina); Hartford, CT (Connecticut); Omaha, NE (Nebraska)

  Work Arrangement:

Hybrid : Employee will work 3 days a week in a Lincoln office

Relocation assistance:  is not available for this opportunity.

Requisition #:  76066

The Role at a Glance

The AVP, Legal, Distribution Counsel will provide strategic legal counsel, regulatory guidance, and practical business support for distribution-related activities across Lincoln Financial Distributors. This role will partner closely with Legal, Compliance, Operations, Enterprise Brand, Advertising and Marketing, Enterprise Producer Solutions Operations, and business leaders to support sales practices, third party distribution relationships, regulatory initiatives, advertising review, and contractual matters tied to Lincoln’s financial products and services, including life insurance, annuities, long-term care products, small market retirement plans and retail private market (alternative investment funds).

This role will serve as a trusted legal advisor and subject matter resource on regulatory requirements impacting broker dealers, investment advisors, insurance agencies, and other distribution partners. Key areas of focus include FINRA, SEC, DOL, and state insurance requirements related to the distribution of life insurance, annuities, hybrid long term care solutions, small market retirement plans, private markets, and other financial products. This role is ideal for a legal professional who can combine technical regulatory expertise with sound business judgment, collaborative partnership, and a practical approach to supporting growth in a highly regulated environment.

What you'll be doing

• Maintains knowledge of current and emerging legal and regulatory developments impacting financial services distribution and assesses operational and business impacts, and advises VP, Chief Counsel Distribution and senior management on legal matters and complex issues within the LFD business including business initiatives, third party relationships, sales and incentive programs, FINRA, SEC, DOL and state insurance laws and regulations. Supports implementation and interpretation of compliance policies, procedures, and business controls related to distribution activities.
• Drafts, reviews, and negotiate distribution agreements including revenue sharing agreements, servicing agreements, selling agreements and related legal documents.
• Assists business partners and internal stakeholders with legal review of sales programs, compensation arrangements, licensing, registration, and distribution initiatives.
• Supports responses to regulatory examinations, inquiries, investigations, and internal reviews.
• Collaborates with Compliance, Operations, Risk, and business teams on regulatory change management initiatives and process improvements.
• Provides legal support for operational and cross-functional projects affecting distribution and sales activities.
• Interprets and communicates legal and regulatory requirements to internal business partners in a practical and concise manner.
• Assists in identifying legal and regulatory risks and supports development of appropriate mitigation strategies.
• Participates in department and enterprise initiatives designed to improve operational efficiency and legal support processes.
• Maintains effective working relationships with internal stakeholders and external business partners.
• Supports development and delivery of legal and compliance-related training and educational materials.
• Collaborates with internal legal teams and outside counsel, as appropriate, on assigned matters.
• Keeps abreast of industry best practices and regulatory developments affecting financial products distribution and sales practices.
• Collaborates in team projects and contributes to achieving departmental objectives.

What we’re looking for

Must-Haves

• 10+ years of experience in law focused on financial services or insurance, or broker dealer that directly aligns to the specific responsibilities for this role.
• 5+ years of experience with FINRA, SEC, DOL and state insurance laws and regulations applicable to broker-dealers, investment advisors, insurance agents and/or other financial services professionals. 
• J.D. from an American Bar Association accredited law school and a member of a state Bar in good standing.
• Experience advising on FINRA, SEC, DOL, and state insurance laws and regulations applicable to financial services distribution
• Experience reviewing and advising on contracts, policies, procedures, regulatory guidance, and related business practices
• Strong verbal and written communication skills, with the ability to translate complex legal and regulatory topics into clear, practical guidance
• Strong interpersonal and relationship management skills, with the ability to partner effectively across Legal, Compliance, Operations, and business teams
• Ability to adapt quickly in a changing regulatory and business environment while maintaining sound judgment and attention to detail

Application Deadline

Applications for this position will be accepted through June, 30, 2026, subject to earlier closure due to applicant volume.

What’s it like to work here?

At Lincoln Financial, 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:

• Clearly defined career tracks and job levels, along with associated behaviors for each of Lincoln's core values and leadership attributes

• Leadership development and virtual training opportunities

• PTO/parental leave

• Free financial counseling, health coaching and employee assistance program

• Tuition assistance program

• Work arrangements that work for you

• Effective productivity/technology tools and training

The pay range for this position is $127,500 - $232,300 with anticipated pay for new hires between the minimum and midpoint of the range and could vary above and below the listed range as permitted by applicable law. Pay is 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 (NYSE: LNC) helps people to confidently plan for their version of a successful future. We focus on identifying a clear path to financial security, with products including annuities, life insurance, group protection, and retirement plan services. 

With our 120-year track record of expertise and integrity, millions of customers trust our solutions and service to help put their goals in reach. 

Lincoln Financial Distributors, a broker-dealer, is the wholesale distribution organization of Lincoln Financial. Lincoln Financial is the marketing name for Lincoln Financial Corporation and its affiliates including The Lincoln National Life Insurance Company, Fort Wayne, IN, and Lincoln Life & Annuity Company of New York, Syracuse, NY. Lincoln Financial affiliates, their distributors, and their respective employees, representatives and/or insurance agents do not provide tax, accounting or legal advice. 

Lincoln is committed to creating an 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. 

Follow us on Facebook , X , LinkedIn , Instagram , and YouTube . For the latest company news, visit our newsroom . 

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 View email address on us.fitly.work 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 or candidate profiles submitted through our web site or to personal e-mail accounts of employees of Lincoln Financial are considered property of Lincoln Financial and are not subject to payment of agency fees.

Lincoln Financial ("Lincoln" or "the Company") 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, age, national origin or disability. Opportunities throughout Lincoln are available to employees and 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 View phone number on us.fitly.work.

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