Supervisory Principal Consultant

Lincoln Financial

Supervision Consultant overseeing high-volume supervision and risk management in a broker-dealer environment. Collaborating with compliance and providing practical guidance for registered representatives.

Posted 5/23/2026full-timeRemote • Alabama, Arizona, California, Florida, Idaho, Illinois, Iowa, Louisiana, Maine, Maryland, Massachusetts, Missouri, New Hampshire, New Jersey, New York, North Carolina, Ohio, Oregon, Pennsylvania, Tennessee, Texas, Virginia, Wisconsin • 🇺🇸 United StatesLead💰 $72,900 - $131,600 per yearWebsite

About the role

Key responsibilities & impact

Reviewing and approving high-volume supervision items, including non-cash compensation (credit cards, check requests) and Logoed related orders
Monitoring gift & entertainment activity for policy, strategic firm and regulatory compliance
Conducting surveillance of email, text, and social media communications
Responding to field inquiries and providing clear, practical supervision guidance
Conducting annual interviews and training sessions with registered representatives
Identifying and escalating potential risks, applying sound, business-aware judgment
Contributing to or lead SME areas (e.g., NCC, communications, marketing, registration, complaints)
Partnering with Compliance (2nd line) and Field Assurance (3rd line) to ensure effective oversight
Delivering fast, accurate supervision in a high-volume environment
Identifying risks early without slowing down business
Building expertise in key areas and improving consistency and quality across reviews

Requirements

What you’ll need

4 Year/Bachelor's degree or equivalent work experience (4 years of experience in lieu of Bachelor's) (Minimum Required)
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

Benefits

Comp & perks

Clearly defined career tracks and job levels, along with associated behaviors for each of Lincoln's core values and leadership attributes
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

ATS Keywords

✓ Tailor your resume

Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills & Tools

broker-dealer supervisioncompliancerisk identificationsurveillancetrainingpolicy compliancestrategic oversightcommunication guidancehigh-volume supervisionbusiness-aware judgment

Soft Skills

clear communicationpractical guidanceleadershipexpertise buildingproblem-solvingcollaborationattention to detailorganizational skillsadaptabilitydecision-making

Certifications

FINRA SIEFINRA Series 6FINRA Series 7FINRA Series 63FINRA Series 24FINRA Series 26