Junior Home Office Principal, Surveillance

Lincoln Investment•Fort Washington, PA

7d•Onsite

About The Position

The Junior Home Office Principal, Surveillance provides surveillance of firm-wide sales practices to detect and prevent trends that do not comply with firm policies and procedures or may pose risks to the firm. The role reviews exception reports and tools, escalates potentially material matters, and works with Compliance, Designated Supervisors, Financial Professionals, and Home Office employees to educate, communicate, and enforce firm policies. It also contributes to improving surveillance controls and procedures and may assist with manuals, compliance memorandums, and special projects. Lincoln Investment is an independent broker-dealer and registered investment advisor offering brokerage, investment advisory, and other financial services. The firm has about 1,000 financial professionals nationwide and serves over 310,000 clients with over $60 billion in assets. The Home Office is in Fort Washington, Pennsylvania. The company describes its compensation and benefits package as competitive.

Requirements

One to three years of securities-industry experience, preferably in compliance and/or supervision.
Working knowledge of FINRA, SEC, MSRB, and ERISA rules and regulations as they apply to broker-dealers and registered investment advisors.
Thorough understanding of securities products, insurance products (including variable annuities, equity indexed annuities, and fixed annuities), and investment advisory programs.
Extensive experience with Word and Excel in a Windows environment, and knowledge of PowerPoint.
Bachelor’s degree in a related field or an equivalent combination of education and/or experience.
Series 7, Series 24, Series 53, and Series 66 licenses, or equivalent Series 63 and Series 65 licenses, are required.
Ability to gather and analyze data to identify risky activity or trends and bring matters to a supervisor’s attention.
Ability to assess situations and decide how to proceed.
Ability to keep accurate records and work independently.
Excellent oral and written communication skills.
Organizational and time-management skills, including the ability to manage multiple priorities.
Ability to conduct oneself diplomatically and professionally.
Ability to offer creative solutions to issues.
Project management capabilities.
Exceptional attention to detail.

Nice To Haves

Series 9/10 license preferred.
Series 4 license helpful but not required.

Responsibilities

Review Firm Exception Reports and tools daily to identify activity or trends that pose heightened risk to the firm.
Notify or report potentially material matters to the Vice President of Supervision and/or Chief Compliance Officer.
Work with the Compliance Department, Designated Supervisors, Financial Professionals, and Home Office employees on education, communication, and enforcement of Lincoln’s policies and procedures.
Contribute to the development and improvement of surveillance policies, procedures, and controls.
Contribute to updates of procedural manuals or written supervisory procedures as needed.
Assist with creating and/or implementing new Designated Supervisor/Financial Professional Compliance Memorandums as needed.
Work on special projects as needed.
Perform other tasks as needed.