Supervising Principal
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Job Description
Supervising Principal overseeing compliance and sales for Financial Professionals at Lincoln Investment. Engaging in training, supervision, and regulatory compliance for financial services.
Responsibilities:
- 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 check list 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:
- 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:
- Competitive compensation and benefits package
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