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.

Knowledge/Experience

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.

Education/Training

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

Lincoln Investment

New Jobs

Home Office Principal - Surveillance