Supervisory Principal Consultant

Emploi pas sur LinkedIn

🕒 il y a 12 jours

🏈 Alabama, Arizona, +21 états de plus – Distant

🏈 Alabama – Remote 🌵 Arizona – Remote 🏄 California – Remote 🐊 Florida – Remote 🥔 Idaho – Remote 🌽 Illinois – Remote 🌾 Iowa – Remote ⚜️ Louisiana – Remote 🦞 Maine – Remote 🗻 New Hampshire – Remote 🏖️ New Jersey – Remote 🗽 New York – Remote 🌲 North Carolina – Remote 🏈 Ohio – Remote 🌲 Oregon – Remote 🦀 Maryland – Remote 🍂 Massachusetts – Remote 🚗 Michigan – Remote 🔔 Pennsylvania – Remote 🎸 Tennessee – Remote 🤠 Texas – Remote ⚔️ Virginia – Remote 🧀 Wisconsin – Remote

💵 $72 900 - $131 600 / an

⏰ Temps Plein

🔴 Expert

💼 Consultant

Postuler Maintenant

Trouver des Emplois à Distance Similaires

Recevoir des emails pour des emplois à distance

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Lincoln Financial

Site WebLinkedInTous les Emplois

10 000+ employés

Fondée en 1905

💸 Finance

👥 RH Tech

Finance • HR Tech • Insurance

Lincoln Financial est une organisation dédiée à la protection de la vie privée et de la sécurité de ses candidats. Elle informe activement les candidats sur les éventuelles arnaques de recrutement et décrit ses procédures de recrutement rigoureuses, tout en précisant qu'elle ne demande pas d'informations personnelles sensibles pendant le processus de candidature. L'entreprise offre un éventail diversifié d'opportunités de carrière dans divers domaines tels que l'actuariat, la finance, le juridique et le service client, et s'engage à maintenir l'égalité des chances en matière d'emploi.

Description

• Reviewing and approving high-volume supervision items, including non-cash compensation (credit cards, check requests) and Logoed related orders • Monitoring gift & entertainment activity for policy, strategic firm and regulatory compliance • Conducting surveillance of email, text, and social media communications • Responding to field inquiries and providing clear, practical supervision guidance • Conducting annual interviews and training sessions with registered representatives • Identifying and escalating potential risks, applying sound, business-aware judgment • Contributing to or lead SME areas (e.g., NCC, communications, marketing, registration, complaints) • Partnering with Compliance (2nd line) and Field Assurance (3rd line) to ensure effective oversight • Delivering fast, accurate supervision in a high-volume environment • Identifying risks early without slowing down business • Building expertise in key areas and improving consistency and quality across reviews

🎯 Exigences

• 4 Year/Bachelor's degree or equivalent work experience (4 years of experience in lieu of Bachelor's) (Minimum Required) • 3–5+ years in broker-dealer supervision, compliance, or related experience • Strong understanding of FINRA supervision requirements • FINRA SIE and FINRA Series 6 or 7 required at time of hire • FINRA Series 63 obtained within 120 days of start date • Series 24 or Series 26 within 90 days of start date

🏖️ Avantages

• Clearly defined career tracks and job levels, along with associated behaviors for each of Lincoln's core values and leadership attributes • Leadership development and virtual training opportunities • PTO/parental leave • Competitive 401K and employee benefits • Free financial counseling, health coaching and employee assistance program • Tuition assistance program • Work arrangements that work for you • Effective productivity/technology tools and training