Junior Principal, Surveillance

Jobtailor

Pennsylvania

On-site

USD 65,000 - 90,000

Full time

14 days+

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Job summary

Lincoln Financial Group is seeking a Compliance Specialist to monitor daily Firm Exception Reports and related tools, identify activity that may pose heightened risk, and notify the Vice President of Supervision or Chief Compliance Officer when a matter may be material.

You will collaborate with the Compliance Department, Designated Supervisors, Financial Professionals and Home Office staff to educate, communicate, and enforce policies; contribute to surveillance policy improvements; update

Qualifications

1-3 years of experience in the securities industry, preferably in compliance and/or supervision.
Working knowledge of FINRA, SEC, MSRB and ERISA rules & regulations as they apply to both 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 word processing (Word) and spreadsheet (Excel) experience in Windows environment, presentation (PowerPoint) knowledge.

Responsibilities

Daily review of Firm Exception Reports and Tools to identify activity or trends that pose a heightened risk to the firm and provide notification/reporting to Vice President of Supervision and/or Chief Compliance Officer when matter may be material.
Work with the Compliance Department, Designated Supervisors, Financial Professionals and Home Office Employees on the education, communication and enforcement of Lincoln's policies and procedures.
Contribute to the development and improvement of surveillance policies, procedures, and controls.
Contribute to the update of procedural manuals or written supervisory procedures as needed.
Assist in the creation and/or implementation of new DS/FP Compliance Memorandums as needed.
Work on special projects as needed.

Skills

Compliance Experience

Securities Industry Knowledge

FINRA Regulations

SEC Regulations

Word Processing Skills

Tools

Excel Proficiency

PowerPoint Knowledge

Windows Environment

Job description

Daily review of Firm Exception Reports and Tools to identify activity or trends that pose a heightened risk to the firm and provide notification/reporting to Vice President of Supervision and/or Chief Compliance Officer when matter may be material.
Work with the Compliance Department, Designated Supervisors, Financial Professionals and Home Office Employees on the education, communication and enforcement of Lincoln's policies and procedures.
Contribute to the development and improvement of surveillance policies, procedures, and controls.
Contribute to the update of procedural manuals or written supervisory procedures as needed.
Assist in the creation and/or implementation of new DS/FP Compliance Memorandums as needed.
Work on special projects as needed.

Requirements

One to three years of experience in the securities industry (preferably in compliance and/or supervision).
Working knowledge of FINRA, SEC, MSRB and ERISA rules & regulations as they apply to both 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 word processing (Word) and spreadsheet (Excel) experience in Windows environment, presentation (PowerPoint) knowledge.

Core Competencies

Demonstrates expertise in compliance and supervision within the securities industry, with a strong understanding of FINRA, SEC, MSRB, and ERISA regulations. Proficient in developing and improving compliance policies, procedures, and controls while effectively communicating and enforcing organizational standards.

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