Supervisory Principal Consultant

Supervisory Principal Consultant 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 ordersMonitoring gift & entertainment activity for policy, strategic firm and regulatory complianceConducting surveillance of email, text, and social media communicationsResponding to field inquiries and providing clear, practical supervision guidanceConducting annual interviews and training sessions with registered representativesIdentifying and escalating potential risks, applying sound, business-aware judgmentContributing 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 oversightDelivering fast, accurate supervision in a high-volume environmentIdentifying risks early without slowing down businessBuilding expertise in key areas and improving consistency and quality across reviewsWhat we're looking for:Must-Haves: 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 TRAVEL REQUIREMENTS Travel Type: National Domestic Travel Amount: up to 5%At Lincoln Financial, we love what we do. We make meaningful contributions each and every day to empower our customers to take charge of their lives. Working alongside dedicated and talented colleagues, we build fulfilling careers and stronger communities through a company that values our unique perspectives, insights and contributions and invests in programs that empower each of us to take charge of our own future.What's in it for you:Clearly defined career tracks and job levels, along with associated behaviors for each of Lincoln's core values and leadership attributesLeadership development and virtual training opportunitiesPTO/parental leaveCompetitive 401K and employee benefitsFree financial counseling, health coaching and employee assistance programTuition assistance programWork arrangements that work for youEffective productivity/technology tools and trainingThe pay range for this position is $72,900 - $131,600 with anticipated pay for new hires between the minimum and midpoint of the range and could vary above and below the listed range as permitted by applicable law. Pay is based on non-discriminatory factors including but not limited to work experience, education, location, licensure requirements, proficiency and qualifications required for the role. The base pay is just one component of Lincoln's total rewards package for employees. In addition, the role may be eligible for the Annual Incentive Program, which is discretionary and based on the performance of the company, business unit and individual. Other rewards may include long-term incentives, sales incentives and Lincoln's standard benefits package.Lincoln Financial (NYSE: LNC) helps people to confidently plan for their version of a successful future. We focus on identifying a clear path to financial security, with products including annuities, life insurance, group protection, and retirement plan services. With our 120-year track record of expertise and integrity, millions of customers trust our solutions and service to help put their goals in reach.Lincoln Financial is the marketing name for Lincoln Financial Corporation and its affiliates including The Lincoln National Life Insurance Company, Fort Wayne, IN, and Lincoln Life & Annuity Company of New York, Syracuse, NY. Lincoln Financial affiliates, their distributors, and their respective employees, representatives and/or insurance agents do not provide tax, accounting or legal advice.Lincoln is committed to creating an inclusive environment and is proud to be an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, gender, gender identity or expression, sexual orientation, national origin, genetics, disability, age, or veteran status.