Supervisory Principal Consultant

This is a fully remote position, open to applicants in Alabama, +22 more states.

📋 Description

• Evaluating and approving a large volume of supervision items, including non-cash compensation (such as credit cards and check requests) and Logoed related orders.

• Overseeing gift and entertainment activities to ensure compliance with policy, strategic firm objectives, and regulatory standards.

• Performing surveillance of email, text, and social media communications.

• Addressing inquiries from the field and providing clear, actionable supervision guidance.

• Conducting annual interviews and training sessions with registered representatives.

• Recognizing and escalating potential risks while applying sound, business-aware judgment.

• Contributing to or leading subject matter expert areas (e.g., NCC, communications, marketing, registration, complaints).

• Collaborating with Compliance (2nd line) and Field Assurance (3rd line) to guarantee effective oversight.

• Delivering prompt and precise supervision in a high-volume setting.

• Identifying risks proactively without hindering business operations.

• Developing expertise in crucial areas and enhancing consistency and quality across reviews.

⛳️ Requirements

• Bachelor's degree (4 years) or equivalent work experience (4 years of experience can substitute for a Bachelor's degree) (Minimum Required).

• 3 to 5+ years of experience in broker-dealer supervision, compliance, or a related field.

• Strong knowledge of FINRA supervision requirements.

• FINRA SIE and FINRA Series 6 or 7 must be obtained at the time of hire.

• FINRA Series 63 must be achieved within 120 days of the start date.

• Series 24 or Series 26 must be obtained within 90 days of the start date.

🏝️ Benefits

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

• Opportunities for leadership development and virtual training.

• Paid time off (PTO) and parental leave.

• Competitive 401K and employee benefits.

• Complimentary financial counseling, health coaching, and employee assistance programs.

• Tuition assistance program.

• Flexible work arrangements to suit your needs.

• Effective productivity tools and technology training.