Home Office Compliance Lead – Surveillance & Policy

Lincoln Investment; Washington (Washington County); Remote; USD 70,000 - 90,000; Full time

Benefits offered by this job

Competitive compensation

Benefits package

Job summary

Lincoln Investment in Fort Washington, PA, is seeking a compliance specialist responsible for overseeing firm-wide sales practices to ensure compliance with internal policies.

The ideal candidate will have 3-5 years of experience in the securities industry and a strong understanding of relevant regulations. This role offers a competitive compensation package and the opportunity to work within a majority family-owned firm.

Qualifications

• 3-5 years experience in the securities industry, preferably in compliance or supervision.
• Working knowledge of FINRA, SEC, MSRB, and ERISA rules.
• Understanding of securities and insurance products.

Responsibilities

• Review Firm Exception Reports and identify risks.
• Educate and communicate Lincoln's policies.
• Contribute to surveillance policy development.

Skills

Data analysis

Decision-making

Record keeping

Independent work

Communication skills

Organizational skills

Creative problem solving

Project management

Attention to detail

Education

Bachelor's degree in a related field or equivalent

Tools

Microsoft Word

Microsoft Excel

Microsoft PowerPoint

Job description

Lincoln Investment in Fort Washington, PA, is seeking a compliance specialist responsible for overseeing firm-wide sales practices to ensure compliance with internal policies.

The ideal candidate will have 3-5 years of experience in the securities industry and a strong understanding of relevant regulations. This role offers a competitive compensation package and the opportunity to work within a majority family-owned firm.