Compliance Surveillance Lead, Financial Services
Remote / Online - Candidates ideally in
Washington, Washington County, Pennsylvania, 15301, USA
Listed on 2026-07-13
Washington, Washington County, Pennsylvania, 15301, USA
Listing for:
Lincoln Investment
Remote/Work from Home
position Listed on 2026-07-13
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Financial Compliance
Job Description & How to Apply Below
Lincoln Investment is seeking a Compliance Surveillance professional to monitor firm-wide sales practices and ensure adherence to policies and regulatory requirements. The role emphasizes identifying risk trends, reporting material matters, and collaborating with Compliance and Home Office teams.
The ideal candidate possesses 1–3 years in securities compliance, with knowledge of FINRA, SEC, MSRB and ERISA rules, and holds relevant Series licenses or equivalent.
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