Note: The job is a remote job and is open to candidates in USA. Lincoln Financial provides financial security solutions, including annuities, life insurance, group protection, and retirement plan services. The Supervisory Principal Consultant oversees registered representatives in a wholesale broker-dealer environment, focusing on supervision, risk management, regulatory compliance, and operational execution. The role reviews supervision items, monitors communications and activities, provides guidance, conducts training, and escalates potential risks.
Responsibilities
- 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
Skills
- 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
Benefits
- 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 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
- Remote: Work at home employee residing outside of a commutable distance to an office location.
Company Overview