Compliance Surveillance Lead, Financial Services

Lincoln Investment; Washington (Washington County); Remote; USD 70,000 - 100,000; Full time

Job summary

Lincoln Investment is seeking a Compliance Surveillance professional to monitor firm-wide sales practices and ensure adherence to policies and regulatory requirements. The role emphasizes identifying risk trends, reporting material matters, and collaborating with Compliance and Home Office teams.

The ideal candidate possesses 1–3 years in securities compliance, with knowledge of FINRA, SEC, MSRB and ERISA rules, and holds relevant Series licenses or equivalent.

Qualifications

• Bachelor's degree in a related field or equivalent experience.
• 1–3 years of experience in the securities industry, preferably compliance/supervision.
• Working knowledge of FINRA, SEC, MSRB and ERISA rules as they apply to broker/dealers and RIAs.
• Strong data handling, Word/Excel/PowerPoint proficiency.

Responsibilities

• Daily review of firm exception reports to identify risks and report material matters to senior leadership.
• Collaborate with Compliance, Supervisors, Financial Professionals, and Home Office on policy education and enforcement.
• Contribute to development and improvement of surveillance policies, procedures, and controls.
• Participate in updating manuals and implementing new compliance memoranda.

Skills

Data analysis

Attention to detail

Communication skills

Independent work

Diplomacy & professionalism

Project management

Education

Bachelor's degree in a related field

Tools

Word

Excel

PowerPoint

Compliance software

Job description

Lincoln Investment is seeking a Compliance Surveillance professional to monitor firm-wide sales practices and ensure adherence to policies and regulatory requirements. The role emphasizes identifying risk trends, reporting material matters, and collaborating with Compliance and Home Office teams.

The ideal candidate possesses 1–3 years in securities compliance, with knowledge of FINRA, SEC, MSRB and ERISA rules, and holds relevant Series licenses or equivalent.