Supervisory Principal Consultant
Employment Information
Report this job
Job expired or something wrong with this job?
Job Description
Supervision Consultant overseeing high-volume supervision and risk management in a broker-dealer environment. Collaborating with compliance and providing practical guidance for registered representatives.
Responsibilities:
- 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:
- 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:
- 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
Similar Jobs
Senior Consultant, Microsoft Dynamics 365 Advanced Warehouse Management
Senior Consultant designing end-to-end Microsoft Dynamics 365 Advanced Warehouse Management solutions. Collaborating with clients and teams to lead implementations and mentor juniors.
CX Solution Consultant
CX Solution Consultant supporting customer experience solutions through collaboration with sales and technical teams. Leveraging CX strategies to enhance business outcomes and client transformation.
Digital Twin Technical Consultant
Digital Twin Technical Consultant at Rockwell Automation solving engineering challenges using Emulate3D and related digital engineering tools. Driving software and services sales in a customer-facing role.
Senior SD Consultant – IS-OIL
Consultor SD Senior para atuar em Projetos e Melhorias na Avvale. Ajudamos empresas a redesenhar seus modelos de negócio com soluções inovadoras e sustentáveis.
Senior MM Consultant – IS-OIL
Consultor MM Senior atuando em Projetos e Melhorias para empresas de Petróleo. Experiência com SAP e análise de processos de negócio em Refinarias.
Value Consultant
Value Consultant driving Ashby's value selling motion in the US through impactful assessments and frameworks. Collaborating with sales and customer success to maximize customer value.
Climate Policy Consultant
Consultant supporting climate policy projects at ICF for clients like the European Commission. Collaborating with a team of experts on flagship initiatives for climate and sustainability.
AWS Data Cloud Consultant
AWS Data Consultant designing, building, and deploying scalable data solutions on AWS for clients. Involves strong collaboration, cloud adoption guidance, and technical solution implementation.
Senior Energy Consultant – Analytics
Experienced energy consultant providing advisory services through analytics in utilities sector. Managing complex projects and mentoring junior staff in energy-related analysis.
Senior Consultant, Managed Care
Sr. Consultant managing care agreements and overseeing contracting activities at Stanford Health Care. Partnering with leadership to advance payor contracting and manage policy review processes.
Account Consultant II
Account Consultant II responsible for client-facing interactions, maximizing sales and managing business relationships for Horizon Blue Cross Blue Shield of New Jersey.
Lead Functional Consultant, Infor CSI
Principal/Functional Consultant specializing in Infor CSI (SyteLine) implementation and supply chain management projects. Engaging in gap analysis, business requirements documentation, and stakeholder workshops in a remote capacity.
Senior Technical Consultant
Sr. Technical Consultant driving technical execution on complex engagements at Oxalis. Engaging with clients to identify and solve technical challenges in high-stakes environments.
TOTVS Consultant
Consultor TOTVS atuando em projeto de implementação de sistemas para empresas. Responsável por levantamento de requisitos, configuração e desenvolvimento de soluções em ambiente TOTVS.
Lead Technical Implementation Consultant
Lead Technical Implementation Consultant managing technical execution for Shipium's AI-augmented workflows in supply chain operations. Own the integration projects across the enterprise product portfolio with customer-focused solutions.
Revenue Cycle Consultant
Revenue Cycle Consultant providing operational support and improvement in healthcare revenue cycle management. Leading projects and training in a remote capacity for US states.
Knowledge Management Consultant – Part-Time Contract
Knowledge Management Consultant designing SharePoint-based knowledge systems for healthcare. Leading KMS implementations and collaborating across teams to drive digital transformation.
Nurse Consultant II
Nurse Consultant II role providing professional nursing care within Clinical Operations for G.E.H.A. Supporting members through assessment and evaluation to ensure appropriate healthcare services.
Cloud Consultant – OpenShift
Cloud Consultant at Red Hat focusing on OpenShift technology implementations in Saudi Arabia. Managing customer projects and addressing technical IT needs for diverse industries.
Senior Medical School Admissions Consultant
Senior Medical School Admissions Consultant mentoring students on their medical school applications. Work remotely with applicants to enhance their profiles and navigate the admissions process.