Home Office Principal - Surveillance

Basic Function

The primary responsibility of this position is to provide surveillance of firm-wide sales practices to detect and prevent trends that fail to be in compliance with firm policies and procedures and/or may be “at risk” issues for the firm.

Responsibilities

• 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.
• Other tasks as needed which may include but are not limited to:
• Contribute to the update of procedural manuals or written supervisory procedures as needed.
• Assist in the creation and/or implementation of new DS/FP Compliance Memorandums as needed.
• Work on special projects as needed.

Skills

• Ability to gather and analyze data to identify activity or trends that pose a risk to the firm and bring these matters to supervisor's attention.
• Aptitude to assess a situation and make a decision on how to move forward.
• Ability to keep accurate records.
• Capacity to work independently.
• Excellent oral and written communication skills.
• Organizational and time management skills (e.g., ability to effectively manage multiple priorities).
• Ability to conduct oneself in a diplomatic and professional manner.
• Offer creative solutions to issues.
• Project management capabilities.
• Exceptional attention to detail.

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.

Qualifications

• Bachelor’s degree in a related field or the equivalent combination of education and/or experience.
• Certification/Licenses: Series 7, Series 24, Series 53, and Series 66 (or equivalent, i.e. Series 63 & Series 65) licenses required.
• Series 9/10 preferable.
• Series 4 helpful but not required.

Physical And Other Requirements

• May sit at workstation for extended periods of time.
• May view computer screen for extended periods of time.
• Periods of fast pace are normal particularly when working to meet deadlines.

Benefits

Lincoln Investment offers a competitive compensation and benefits package.

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