Remote Senior Supervisory Consultant

Lincoln Financial Group; United States; Remote; USD 75,000 - 120,000; Full time

Benefits offered by this job

PTO/ parental leave

Competitive 401K

Tuition assistance program

Free financial counseling

Job summary

Lincoln Financial Group is seeking a Supervision Consultant to oversee day-to-day supervision of registered representatives in a wholesale broker-dealer environment. This role acts as a first line of defense, focusing on high-volume supervision, risk management, and regulatory compliance.

You will supervise communications, NCC, and marketing activities, partner with Compliance and Field Assurance, and deliver fast, accurate supervision in a high-volume setting while guiding field personnel with

Qualifications

• Bachelor's degree or equivalent work experience (4 years in lieu).
• 3-5+ years in broker-dealer supervision or related compliance experience.
• Solid understanding of FINRA supervision requirements.
• FINRA SIE and Series 6/7 required at hire; Series 63 within 120 days; Series 24/26 within 90 days.

Responsibilities

• Review and approve high-volume supervision items (NCC, cards, checks).
• Monitor gift & entertainment activity for policy compliance.
• Conduct surveillance of email, text, and social media.
• Respond to field inquiries with clear supervision guidance.
• Conduct annual interviews and training with registered representatives.
• Identify and escalate potential risks with sound judgment.
• Lead SME areas (NCC, communications, marketing, registration, complaints).
• Collaborate with Compliance (2nd line) and Field Assurance (3rd line).
• Deliver fast, accurate supervision in a high-volume environment.
• Develop expertise and improve consistency/quality of reviews.

Skills

FINRA SIE

Series 6/7

Series 63 within 120 days

Series 24/26 within 90 days

Broker-dealer supervision

Regulatory compliance

Risk management

Communication skills

Education

Bachelor's degree or equivalent

Job description

Lincoln Financial Group is seeking a Supervision Consultant to oversee day-to-day supervision of registered representatives in a wholesale broker-dealer environment. This role acts as a first line of defense, focusing on high-volume supervision, risk management, and regulatory compliance.

You will supervise communications, NCC, and marketing activities, partner with Compliance and Field Assurance, and deliver fast, accurate supervision in a high-volume setting while guiding field personnel with