Supervising Principal

Dayforce

Supervising Principal overseeing sales activities for Financial Professionals at Lincoln Investment. Ensuring compliance and providing support while educating and training financial staff across the assigned territory.

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

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in supervising financial professionals, ensuring compliance with regulatory standards, and conducting thorough investigations of transactions. Proficient in developing and implementing supervision programs tailored to individual needs while providing training and support to enhance compliance practices.

Highest-signal resume keywords

Securities Industry ExperienceFINRA Regulations KnowledgeCompliance SupervisionSeries 7 LicenseSeries 24 License

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Securities Products KnowledgeInsurance Products KnowledgeInvestment Advisory Programs UnderstandingTransaction InvestigationCompliance Training Development

Soft Skills

Communication SkillsAnalytical SkillsProblem-Solving Skills

Certifications & Qualifications

Series 7Series 24Series 53Series 66Series 9/10

Industry Keywords

SEC RegulationsMSRB RulesERISA ComplianceBroker/Dealer StandardsRegistered Investment Advisors

About the role

Key responsibilities & impact

Supervise the sales activities of FPs in an assigned territory including, but not limited to, the review of new business, correspondence, and email.
Review exception reports and various other reports for suitability.
Investigate questionable transactions and take corrective actions which may require FP and/or investor contact.
Answer compliance questions from Financial Professionals and their office staff.
Participate in pre-audit briefings with Branch Examinations.
Conduct Designated Supervisor ("DS") Visits to FP's business locations across the country to assist in properly supervising the FP, which includes but is not limited to:
Completion of a checklist of questions.
Review office and client files for business and correspondence not submitted through the BD and or not approved by the BD.
Work with the Vice President of Supervision to identify, supervise, monitor, and document FPs who are recognized as requiring Special Supervision. Develop criteria for how and why these FPs are identified, monitored and when this monitoring is no longer necessary. Assist in the creation of customized Special Supervision programs for individual FPs and support carrying out the programs as required.
May assist the Compliance Department in identifying and investigating investor complaints received and prepare (or coordinate with the Compliance Department to prepare) the written response to the investor within thirty (30) days of receipt of the complaint. This includes, but is not limited to, conducting an analysis of the complaint, analyzing the alleged losses in the account, and interviewing Branch Managers and FPs.
Assist in preparing training materials and presenting at compliance training meetings as needed.
Other tasks as needed which may include but are not limited to:
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 with Compliance Advisors 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.
Bachelor's degree in a related field or the equivalent combination of education and/or experience.
Series 7, Series 24, Series 53, and Series 66 (or equivalent, i.e. Series 63 & Series 65) licenses required.
Series 9/10 preferable.
Series 4 helpful, but not required.

Benefits

Comp & perks

Competitive compensation and benefits package