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Supervisory Principal Consultant

Company

Lincoln Financial Group

Location

Lexington, Kentucky

Type

Full-time

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 (, 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...

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