Principal – Surveillance

• Provide surveillance of firm-wide sales practices to detect and prevent trends that fail to be in compliance with firm policies and procedures.
• 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.
• Assist in the creation and/or implementation of new DS/FP Compliance Memorandums as needed.
• Work on special projects as needed.

• 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.

Demonstrates expertise in compliance and supervision within the securities industry, with a strong understanding of FINRA, SEC, MSRB, and ERISA regulations. Proficient in developing and enforcing policies and procedures while effectively collaborating with various stakeholders.

• Securities Industry Experience
• Compliance Knowledge
• FINRA Regulations
• Word Processing (Word)
• Spreadsheet Experience (Excel)

• Surveillance Practices
• Securities Products Knowledge
• Insurance Products Knowledge
• Investment Advisory Programs
• Policy Development
• Risk Identification
• Reporting Skills
• Compliance Memorandum Implementation

• Communication
• Collaboration
• Education

• Broker/Dealers
• Registered Investment Advisors
• ERISA
• MSRB

• Windows Environment
• Power Point