Supervisory Principal Consultant

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

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

is not available for this opportunity.

76693

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 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

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 Type:
National Domestic

Travel Amount: up to 5%

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.

• 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…