Principal Consultant

Job not on LinkedIn

🔥 1 minute ago

🔔 Pennsylvania – Remote

🔔 Pennsylvania – Remote

💵 $75k - $120k / year

⏰ Full Time

🔴 Lead

💼 Consultant

👻 Ghost score 0%

What it means: how likely this posting is sitting open without active hiring.How to read it: 60% or higher means we think this is a ghost. Lower scores are less of a worry.How we score it: age, reposts, open roles vs team size, how fast jobs close, and whether pay is listed.Fine print: an estimate from public data, not a judgment of the company. Real jobs can score high, so treat it as a hint, not a fact.

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Lincoln Financial

WebsiteLinkedInAll Job Openings

10,000+ employees

Founded 1905

💼 Consulting

⚖️ Legal

💸 Finance

Consulting • Legal • Finance

Lincoln Financial is an organization dedicated to protecting the privacy and security of its job applicants. It actively informs candidates about potential recruitment scams and outlines its robust hiring procedures, making clear that they do not request sensitive personal information during the application process. The company offers a diverse range of career opportunities across various fields including actuarial, finance, legal, and customer service, and is committed to maintaining equal employment opportunities.

📋 Description

• Support day-to-day oversight of registered representatives in a wholesale broker-dealer environment • Review and approve high-volume supervision items, including non-cash compensation and logoed-related orders • Monitor gift and entertainment activity for policy, firm and regulatory compliance • Conduct surveillance of email, text and social media communications • Respond to field inquiries and provide practical supervision guidance • Conduct annual interviews and training sessions with registered representatives • Identify and escalate potential risks using business-aware judgment • Contribute to or lead subject-matter-expert areas including NCC, communications, marketing, registration and complaints • Partner with Compliance and Field Assurance to ensure effective oversight • Deliver fast, accurate supervision in a high-volume environment • Identify risks early without slowing business • Build expertise and improve consistency and quality across reviews

🎯 Requirements

• 4 Year/Bachelor's degree or equivalent work experience; 4 years of experience in lieu of Bachelor's • 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 • Ability to conduct annual interviews and training sessions with registered representatives • Remote work at home while residing outside a commutable distance to an office location

🏖️ Benefits

• 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 • Annual Incentive Program eligibility • Long-term incentives may be available • Sales incentives may be available • Up to 5% national domestic travel