Principal – Surveillance

Dayforce

Surveillance of firm-wide sales practices at Lincoln Investment. Identifying compliance issues and collaborating with various departments to uphold standards.

Posted 7/29/2026full-timeFort Washington • Pennsylvania, Washington • 🇺🇸 United StatesLeadWebsite

Core Competencies

Role fit

Core Competencies

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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.

Highest-signal resume keywords

Securities Industry ExperienceCompliance KnowledgeFINRA RegulationsWord Processing (Word)Spreadsheet Experience (Excel)

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Surveillance PracticesSecurities Products KnowledgeInsurance Products KnowledgeInvestment Advisory ProgramsPolicy DevelopmentRisk IdentificationReporting SkillsCompliance Memorandum Implementation

Soft Skills

CommunicationCollaborationEducation

Tools & Technologies

Windows EnvironmentPowerPoint

Industry Keywords

Broker/DealersRegistered Investment AdvisorsERISAMSRB

About the role

Key responsibilities & impact

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.

Requirements

What you’ll need

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.

Benefits

Comp & perks

Competitive compensation and benefits package