Hiring: Home Office Principal - Surveillance Company: Lincoln Investment Location: Greater Philadelphia Job Posted Time: 2026-09-10 13:02:04 Target Skills & Keywords : Microsoft Excel, Microsoft PowerPoint, Project Management, Series 24, Series 66, Series 7 About the job Required Skills: •Daily review of Firm Exception Reports and Tools to identify activity or trends that pose a heightened risk to the firm and provide notification/reporting to Vice President of Supervision and/or Chief Compliance Officer when matter may be material. •Interface directly with the Compliance Department, Designated Supervisors, Financial Professionals and Home Office Employees on the education, communication and enforcement of Lincoln's policies and procedures. •Contribute to the development and improvement of surveillance policies, procedures, and controls. •Contribute to the update of procedural manuals or written supervisory procedures as needed. •Assist in the creation and/or implementation of new DS/FP Compliance Memorandums as needed. •Work on special projects as needed. •Demonstrated capacity to gather and analyze data to identify activity or trends that pose a risk to the firm and bring these matters to supervisor's attention. •Aptitude to assess a situation and make a decision on how to move forward. Qualifications: •May sit at workstation for extended periods of time •May view computer screen for extended periods of time •Periods of fast pace are normal particularly when working to meet deadlines Interested candidates, please apply directly through the job posting on company's career page or try via AI auto apply on this platform. Don't miss this opportunity to join a forward-thinking team!