Senior Supervising Principal – Compliance & FP Oversight

Lincoln Investment; Fort Washington (Montgomery County); On-site; USD 110,000 - 160,000; Full time

Job summary

Lincoln Investment, based in Fort Washington, PA, seeks a Supervising Principal to oversee Financial Professionals and ensure compliance with FINRA, SEC, MSRB, and ERISA rules. The role focuses on supervising sales activities, reviewing reports, and addressing investor concerns while coordinating with Compliance and DS visits across the country.

Ideal candidates hold a Bachelor’s degree with 3–5 years in securities compliance and possess strong data analysis, communication, and

Qualifications

• Bachelor's degree in a related field or equivalent experience.
• Experience in compliance and supervision within securities industry preferred.
• Familiarity with FINRA, SEC, MSRB and ERISA rules & regulations.

Responsibilities

• Supervise FP sales activities across territory including review of new business, correspondence, and email.
• Review exception reports and other files for suitability.
• Investigate questionable transactions and coordinate corrective actions.
• Answer compliance questions from Financial Professionals and staff.
• Conduct DS visits to FP locations nationwide to ensure proper supervision.
• Develop criteria for Special Supervision programs and support implementation.

Skills

Data analysis

Data presentation

Communication

Organizational skills

Time management

Project management

Attention to detail

Problem solving

Diplomacy

Independence

Education

Bachelor's degree

Job description

Lincoln Investment, based in Fort Washington, PA, seeks a Supervising Principal to oversee Financial Professionals and ensure compliance with FINRA, SEC, MSRB, and ERISA rules. The role focuses on supervising sales activities, reviewing reports, and addressing investor concerns while coordinating with Compliance and DS visits across the country.

Ideal candidates hold a Bachelor’s degree with 3–5 years in securities compliance and possess strong data analysis, communication, and