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Principal Consultant
Lincoln Financial. Support day-to-day oversight of registered representatives in a wholesale broker-dealer environment .
Posted 9/29/2026full-timeRemote • Pennsylvania • United StatesLead💰 $75,000 - $120,000 per yearWebsite
Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in broker-dealer supervision and compliance, with a strong understanding of FINRA requirements and the ability to conduct training and interviews with registered representatives. Capable of identifying risks and ensuring regulatory compliance in a high-volume environment.
Highest-signal resume keywords
Broker-Dealer SupervisionFINRA Supervision RequirementsCompliance MonitoringTraining and DevelopmentRisk Identification
ATS Keywords
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Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Regulatory ComplianceSurveillance of CommunicationsHigh-Volume SupervisionNon-Cash Compensation ReviewLogoed-Related Orders Approval
Soft Skills
Practical Supervision GuidanceBusiness-Aware JudgmentEffective Communication
Certifications & Qualifications
FINRA SIEFINRA Series 6FINRA Series 7FINRA Series 63FINRA Series 24FINRA Series 26
Industry Keywords
Wholesale Broker-DealerGift and Entertainment PolicyField AssuranceSubject-Matter ExpertRegistered Representatives
About the role
Key responsibilities & impact- Support day-to-day oversight of registered representatives in a wholesale broker-dealer environment
- Review and approve high-volume supervision items, including non-cash compensation and logoed-related orders
- Monitor gift and entertainment activity for policy, firm and regulatory compliance
- Conduct surveillance of email, text and social media communications
- Respond to field inquiries and provide practical supervision guidance
- Conduct annual interviews and training sessions with registered representatives
- Identify and escalate potential risks using business-aware judgment
- Contribute to or lead subject-matter-expert areas including NCC, communications, marketing, registration and complaints
- Partner with Compliance and Field Assurance to ensure effective oversight
- Deliver fast, accurate supervision in a high-volume environment
- Identify risks early without slowing business
- Build expertise and improve 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
- 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
- Ability to conduct annual interviews and training sessions with registered representatives
- Remote work at home while residing outside a commutable distance to an office location
Benefits
Comp & perks- 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
- Annual Incentive Program eligibility
- Long-term incentives may be available
- Sales incentives may be available
- Up to 5% national domestic travel