Junior Principal, Surveillance

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 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. Core Competencies 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 Experience Securities Industry Knowledge FINRA Regulations SEC Regulations Word Processing Skills ATS Optimization Keywords Hard Skills Compliance Procedures Surveillance Policies Securities Products Knowledge Insurance Products Knowledge Investment Advisory Programs Excel Proficiency PowerPoint Knowledge Soft Skills Communication Skills Collaboration Skills Industry Keywords Broker/Dealers Registered Investment Advisors ERISA Rules MSRB Regulations Tools & Technologies Windows Environment #J-18808-Ljbffr Jobtailor