Supervisory Principal 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

Alternate Locations

US East; US Central; US Mid-Atlantic; US Midwest; US Northeast; US South; US Southeast; Work from Home

Work Arrangement

Remote : Work at home employee residing outside of a commutable distance to an office location.

Relocation assistance

is not available for this opportunity.

Requisition #

76693

The Role at a Glance

The Supervision Consultant supports the day-to-day oversight of registered representatives in a wholesale broker-dealer environment. This role is a first line of defense embedded in the business, focused on high-volume supervision, risk management, and operational execution.

The Supervision Consultant will oversee activities such as communications, non-cash compensation (NCC), and marketing - helping the business move efficiently while staying aligned with regulatory requirements. This role will supervise wholesalers who partner with financial professionals - with a focus on sales engagement, communications, and behavioral risk.

What you'll be doing

• Reviewing and approving high-volume supervision items, including non-cash compensation (credit cards, check requests) and Logoed related orders
• Monitoring gift & entertainment activity for policy, strategic firm and regulatory compliance
• Conducting surveillance of email, text, and social media communications
• Responding to field inquiries and providing clear, practical supervision guidance
• Conducting annual interviews and training sessions with registered representatives
• Identifying and escalating potential risks, applying sound, business-aware judgment
• Contributing to or lead SME areas (e.g., NCC, communications, marketing, registration, complaints)
• Partnering with Compliance (2nd line) and Field Assurance (3rd line) to ensure effective oversight
• Delivering fast, accurate supervision in a high-volume environment
• Identifying risks early without slowing down business
• Building expertise in key areas and improving consistency and quality across reviews

What we're looking for

Must-Haves

• 4 Year/Bachelor's degree or equivalent work experience (4 years of experience in lieu of Bachelor's) (Minimum Required)
• 3-5+ years in broker-dealer supervision, compliance, or related experience
• Strong understanding of FINRA supervision requirements
• FINRA SIE and FINRA Series 6 or 7 required at time of hire
• FINRA Series 63 obtained within 120 days of start date
• Series 24 or Series 26 within 90 days of start date

TRAVEL REQUIREMENTS

Travel Type: National Domestic

Travel Amount: up to 5%

What's it like to work here?

At Lincoln Financial, we love what we do. We make meaningful contributions each and every day to empower our customers to take charge of their lives. Working alongside dedicated and talented colleagues, we build fulfilling careers and stronger communities through a company that values our unique perspectives, insights and contributions and invests in programs that empower each of us to take charge of our own future.

What's in it for you:

• Clearly defined career tracks and job levels, along with associated behaviors for each of Lincoln's core values and leadership attributes
• Leadership development and virtual training opportunities
• PTO/parental leave
• Competitive 401K and employee benefits
• Free financial counseling, health coaching and employee assistance program
• Tuition assistance program
• Work arrangements that work for you
• Effective productivity/technology tools and training

The pay range for this position is $75,000 - $120,000 with anticipated pay for new hires between the minimum and midpoint of the range and could vary above and below the listed range as permitted by applicable law. Pay is based on non-discriminatory factors including but not limited to work experience, education, location, licensure requirements, proficiency and qualifications required for the role. The base pay is just one component of Lincoln's total rewards package for employees. In addition, the role may be eligible for the Annual Incentive Program, which is discretionary and based on the performance of the company, business unit and individual. Other rewards may include long-term incentives, sales incentives and Lincoln's standard benefits package.

About The Company

Lincoln Financial (NYSE: LNC) helps people to confidently plan for their version of a successful future. We focus on identifying a clear path to financial security, with products including annuities, life insurance, group protection, and retirement plan services.

With our 120-year track record of expertise and integrity, millions of customers trust our solutions and service to help put their goals in reach.

Lincoln Financial Distributors, a broker-dealer, is the wholesale distribution organization of Lincoln Financial. Lincoln Financial is the marketing name for Lincoln Financial Corporation and its affiliates including The Lincoln National Life Insurance Company, Fort Wayne, IN, and Lincoln Life & Annuity Company of New York, Syracuse, NY. Lincoln Financial affiliates, their distributors, and their respective employees, representatives and/or insurance agents do not provide tax, accounting or legal advice.

Lincoln is committed to creating an inclusive environment and is proud to be an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, gender, gender identity or expression, sexual orientation, national origin, genetics, disability, age, or veteran status.

Follow us on Facebook , X , LinkedIn , Instagram , and YouTube . For the latest company news, visit our newsroom .

Additional Information

This position may be subject to Lincoln's Political Contribution Policy. An offer of employment may be contingent upon disclosing to Lincoln the details of certain political contributions. Lincoln may decline to extend an offer or terminate employment for this role if it determines political contributions made could have an adverse impact on Lincoln's current or future business interests, misrepresentations were made, or for failure to fully disclose applicable political contributions and or fundraising activities.

Any unsolicited resumes or candidate profiles submitted through our web site or to personal e-mail accounts of employees of Lincoln Financial are considered property of Lincoln Financial and are not subject to payment of agency fees.

Lincoln Financial ("Lincoln" or "the Company") is an Equal Opportunity employer and, as such, is committed in policy and practice to recruit, hire, compensate, train and promote, in all job classifications, without regard to race, color, religion, sex, age, national origin or disability. Opportunities throughout Lincoln are available to employees and applicants are evaluated on the basis of job qualifications. If you are a person with a disability that impedes your ability to express your interest for a position through our online application process, or require TTY/TDD assistance, contact us by calling [phone].

This Employer Participates in E-Verify. See the E-Verify notices.

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