Home Office Compliance Surveillance Analyst

Lincoln Investment; Pennsylvania; On-site; USD 70,000 - 110,000; Full time

Job summary

Lincoln Investment in Philadelphia, PA, seeks a compliance surveillance professional to monitor firm‑wide sales practices and help ensure adherence to policies and procedures.

The role involves reviewing reports, collaborating with the Compliance Department and supervisors, and contributing to policy improvements while managing multiple priorities in a fast‑paced environment. A bachelors degree and 1–3 years in securities are required.

Qualifications

• Experience reviewing surveillance data and identifying risk indicators.
• Ability to develop and implement process improvements in a regulatory setting.
• Strong documentation and record-keeping capabilities.

Responsibilities

• Daily review of Firm Exception Reports and tools to identify activity or trends posing heightened risk and notify leadership when material.
• Collaborate with Compliance, Supervisors, Financial Professionals and Home Office on policy education, communication and enforcement.
• Contribute to development and improvement of surveillance policies, procedures, and controls.
• Assist in updating manuals and written supervisory procedures as needed.
• Support special projects and other tasks as assigned.

Skills

Data analysis

Risk assessment

Record keeping

Independent work

Oral and written communication

Project management

Attention to detail

Education

Bachelor27s degree

Job description

Lincoln Investment in Philadelphia, PA, seeks a compliance surveillance professional to monitor firm‑wide sales practices and help ensure adherence to policies and procedures.

The role involves reviewing reports, collaborating with the Compliance Department and supervisors, and contributing to policy improvements while managing multiple priorities in a fast‑paced environment. A bachelors degree and 1–3 years in securities are required.