Compliance Surveillance Lead, Financial Services
McMurray, Skagit County, Washington, USA
Listed on 2026-09-29
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Finance & Banking
Regulatory Compliance Specialist, Financial Compliance, Financial Services, Risk Manager/Analyst
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.
We have an opening for a Compliance Surveillance Lead, Financial Services in Washington, Washington County, United States within Other.
Take a moment to read everything above and see whether this role is right for you.
This posting is for the Compliance Surveillance Lead, Financial Services role at Lincoln Investment, based in Washington, Washington County, United States.
We are looking to fill the Compliance Surveillance Lead, Financial Services position at Lincoln Investment in Washington, Washington County, United States.
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