Senior Surveillance & Compliance Lead

Lincoln Investment; Pennsylvania; On-site; USD 90,000 - 130,000; Full time

Job summary

Lincoln Investment, headquartered near Philadelphia, seeks a Compliance Surveillance professional to monitor firm-wide sales practices and ensure adherence to policies. You will review risk indicators, collaborate with Compliance and Home Office, and help advance surveillance controls.

A background in securities compliance and strong data skills are essential. Ideal candidates hold 3–5 years in the securities industry with knowledge of FINRA, SEC, MSRB, ERISA rules, plus experience with Word,

Qualifications

• Three to five years of experience in the securities industry (preferably compliance/supervision).
• Working knowledge of FINRA, SEC, MSRB and ERISA rules & regulations as they apply to broker/dealers and RIAs.
• Thorough understanding of securities products and investment advisory programs.
• Extensive Word and Excel experience in a Windows environment; PowerPoint knowledge.

Responsibilities

• Daily review of Firm Exception Reports and tools to identify activity posing risk; notify leadership when material.
• Collaborate with Compliance, Designated Supervisors, Financial Professionals and Home Office on policy enforcement.
• Contribute to development and improvement of surveillance policies, procedures, and controls.
• Assist in updating procedural manuals, writing supervisory procedures and supporting special projects.

Skills

Data analysis

Risk assessment

Record keeping

Independent work

Communication

Time management

Diplomacy

Problem solving

Project management

Attention to detail

Education

Bachelor's degree

Tools

Word

Excel

PowerPoint

Job description

Lincoln Investment, headquartered near Philadelphia, seeks a Compliance Surveillance professional to monitor firm-wide sales practices and ensure adherence to policies. You will review risk indicators, collaborate with Compliance and Home Office, and help advance surveillance controls.

A background in securities compliance and strong data skills are essential. Ideal candidates hold 3–5 years in the securities industry with knowledge of FINRA, SEC, MSRB, ERISA rules, plus experience with Word,