Senior Surveillance & Compliance Lead
Erie, Erie County, Pennsylvania, 16501, USA
Listed on 2026-09-30
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Finance & Banking
Regulatory Compliance Specialist, Risk Manager/Analyst, Financial Compliance
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,
We are looking to fill the Senior Surveillance & Compliance Lead position at Lincoln Investment in PA, United States.
This is a genuine position to take on the Senior Surveillance & Compliance Lead role at Lincoln Investment.
As a Senior Surveillance & Compliance Lead, you will play an important part at Lincoln Investment in PA, United States.
We invite applications for the Senior Surveillance & Compliance Lead position located in PA, United States.
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