Senior Surveillance & Compliance Lead
Remote / Online - Candidates ideally in
Reading, Berks County, Pennsylvania, 19610, USA
Listed on 2026-07-31
Reading, Berks County, Pennsylvania, 19610, USA
Listing for:
Lincoln Investment
Remote/Work from Home
position Listed on 2026-07-31
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Risk Manager/Analyst, Financial Compliance
Job Description & How to Apply Below
Lincoln Investment, headquartered near Philadelphia, seeks a Compliance Surveillance professional to monitor firm-wide sales practices and ensure adherence to policies. You will review risk indicators, collaborate with Compliance and Home Office, and help advance surveillance controls.
A background in securities compliance and strong data skills are essential. Ideal candidates hold 3–5 years in the securities industry with knowledge of FINRA, SEC, MSRB, ERISA rules, plus experience with Word,
#J-18808-LjbffrPosition Requirements
10+ Years
work experience
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