Compliance Advisor, Branch Examinations

Dayforce

Compliance Advisor responsible for conducting compliance examinations at Lincoln Investment branch offices. Evaluating adherence to regulations and providing guidance on compliance issues.

Posted 7/29/2026full-timeRemote • Pennsylvania, Washington • 🇺🇸 United StatesMid-LevelSeniorWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates strong expertise in compliance examinations and regulatory frameworks, including FINRA, SEC, and MSRB, while effectively communicating findings and providing remediation guidance. Proficient in managing multiple compliance projects and supporting branch personnel with onboarding and training.

Highest-signal resume keywords

Compliance Auditing ExperienceKnowledge of FINRA RegulationsProficiency in Microsoft OfficeStrong Written and Verbal CommunicationExperience with Quest CE

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Compliance ExaminationRegulatory Framework KnowledgeSecurities and Insurance Product KnowledgeInvestment Advisory Services KnowledgeAudit Planning and PreparationDeficiency IdentificationRemediation GuidanceRecordkeeping ObligationsSales Practices EvaluationBranch Operations Experience

Soft Skills

Effective CommunicationProfessional Presentation SkillsCross-Functional SupportTime ManagementDetail Orientation

Tools & Technologies

Microsoft OfficeAdobe AcrobatQuest CESunGard/FISPershing NetX360

Industry Keywords

Broker-DealerRegistered Investment AdviserCompliance InitiativesExit Interview ReportsRegulatory Compliance

About the role

Key responsibilities & impact

Conduct announced and unannounced Annual, Semi-Annual and/or Periodic Compliance Examinations of Branch Offices and other Lincoln Investment business locations.
Evaluate adherence to FINRA, SEC, MSRB, and applicable state regulations, as well as Firm policies, procedures, and supervisory requirements, including:
Recordkeeping obligations
Sales practices and client interactions
Prepare clear and concise written Exit Interview report of the inspection identifying deficiencies and required corrective actions.
Communicate findings effectively, both verbally and in writing, and provide remediation guidance to branch personnel.
Review and assess branch’s formal written responses to Exit Interview reports to confirm adequacy of remediation and closure.
Plan and prepare for examinations, including pre-audit review, scheduling, and travel coordination in accordance with departmental budgets and Firm travel policies.
Manage multiple examinations and projects simultaneously.
Present and articulate examination findings and supporting workpapers to regulators and others, when necessary.
Stay abreast of changing regulations that impact the firm and remain current with the firm's written policies and procedures.
Support departmental and enterprise-wide compliance initiatives, including providing guidance to Designated Supervisors, Financial Professionals, branch personnel, and Home Office staff.
Assist with new branch onboarding, set-up, and training, as needed.
Provide cross-functional support to other Compliance team members, as needed

Requirements

What you’ll need

Strong working knowledge of FINRA, SEC, MSRB, and applicable state regulatory frameworks governing Broker-Dealers and Registered Investment Advisers.
Intermediate to advanced knowledge of securities and insurance products as well as investment advisory services.
Strong communication skills, including clear, concise written communication and professional, effective verbal presentation abilities.
Intermediate to advanced computer skills, including proficiency in Microsoft Office – Word, Excel, and Outlook as well as Adobe Acrobat and web-based applications.
3+ years of Compliance focused auditing experience in a Broker-Dealer and/or Registered Investment Adviser environment preferred.
Experience using Quest CE, SunGard/FIS, Pershing NetX360 and other third-party vendor systems preferred.
Registered representative or branch administrative background or Broker-Dealer operations experience is helpful.

Benefits

Comp & perks

Competitive compensation and benefits package.
Health insurance
Paid time off
Flexible work arrangements
Professional development opportunities