[Hiring] Supervisory Principal Consultant @Lincoln Financial

Role Description

The Supervision Consultant supports the day-to-day oversight of registered representatives in a wholesale broker-dealer environment. This role is a first line of defense embedded in the business, focused on high-volume supervision, risk management, and operational execution.

The Supervision Consultant will oversee activities such as communications, non-cash compensation (NCC), and marketing — helping the business move efficiently while staying aligned with regulatory requirements. This role will supervise wholesalers who partner with financial professionals — with a focus on sales engagement, communications, and behavioral risk.

What you'll be doing

• 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

Qualifications

• 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

Requirements

• Travel Type: National Domestic
• Travel Amount: up to 5%

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