Junior Principal, Surveillance

Dayforce

Surveillance Principal at Lincoln Investment overseeing compliance in firm-wide sales practices. Responsible for developing policies and conducting performance reviews on financial transactions.

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

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 improving compliance policies, procedures, and controls while effectively communicating and enforcing organizational standards.

Highest-signal resume keywords

Compliance ExperienceSecurities Industry KnowledgeFINRA RegulationsSEC RegulationsWord Processing Skills

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Compliance ProceduresSurveillance PoliciesSecurities Products KnowledgeInsurance Products KnowledgeInvestment Advisory ProgramsExcel ProficiencyPowerPoint Knowledge

Soft Skills

Communication SkillsCollaboration Skills

Tools & Technologies

Windows Environment

Industry Keywords

Broker/DealersRegistered Investment AdvisorsERISA RulesMSRB Regulations

About the role

Key responsibilities & impact

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.
Contribute to the update of procedural manuals or written supervisory procedures as needed.
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

One to three 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