Supervisory Principal Consultant

Supervisory Principal Consultant

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.

• 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 leading 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

• Must‑Haves: 4 Year/Bachelor’s degree or equivalent work experience (4 years of experience in lieu of Bachelor’s) (Minimum Required)
• 35+ 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:
  National domestic travel up to 5%

• 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 401(k) 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

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.