Principal – Surveillance

Jobtailor

Pennsylvania

On-site

USD 65,000 - 90,000

Full time

14 days+

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Job summary

Jobtailor in Pennsylvania is seeking a compliant security professional to monitor firm-wide sales practices and ensure adherence to regulatory standards, collaborating with Compliance and senior staff.

You will review daily reports, assist in drafting compliance memorandums, and contribute to surveillance policy improvements while handling ongoing projects.

Qualifications

Three to five years of experience in the securities industry.
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 and investment advisory programs.
Extensive Word and Excel experience in Windows environment.

Responsibilities

Provide surveillance of firm-wide sales practices to detect and prevent trends that fail to be in compliance with firm policies and procedures.
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.
Assist in the creation and/or implementation of new DS/FP Compliance Memorandums as needed.
Work on special projects as needed.

Skills

Securities Industry Experience

Compliance Knowledge

FINRA Regulations

Word Processing (Word)

Spreadsheet Experience (Excel)

Surveillance Practices

Securities Products Knowledge

Insurance Products Knowledge

Investment Advisory Programs

Policy Development

Risk Identification

Reporting Skills

Compliance Memorandum Implementation

Windows Environment

PowerPoint

Excel

Tools

Windows Environment

PowerPoint

Excel

Job description

Provide surveillance of firm-wide sales practices to detect and prevent trends that fail to be in compliance with firm policies and procedures.
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.
Assist in the creation and/or implementation of new DS/FP Compliance Memorandums as needed.
Work on special projects as needed.

Requirements

Three to five 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 enforcing policies and procedures while effectively collaborating with various stakeholders.

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