Job Details

Broker Dealer Supervisory Principal

Company name
Lincoln National Corporation

Philadelphia, PA

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Broker Dealer Supervisory Principal




Alternate Locations: Philadelphia, PA (Pennsylvania)

Relocation assistance is not available for this opportunity.

Requisition #39821

About the Company

Lincoln Financial Group provides advice and solutions that help empower Americans to take charge of their financial lives with confidence and optimism. Today, more than 17 million customers trust our retirement, insurance and wealth protection expertise to help address their lifestyle, savings and income goals, as well as to guard against long-term care expenses. Headquartered in Radnor, Pennsylvania, Lincoln Financial Group is the marketing name for Lincoln National Corporation (NYSE:LNC) and its affiliates. The company had $222 billion in assets under management as of March 31, 2015.

The Role

The Business Practices, Office of Supervisory Jurisdiction is responsible for providing supervisory oversight and support to selling registered representatives and non-supervisory branch offices reporting to Lincoln Financial Securities’ home office OSJ direct report model. This position delivers leadership to assigned registered representatives, investment advisors and unlicensed administrative staff in the field relating to broker dealer policy and process as well as regulatory rules. The position includes independent testing and reporting results of broker dealer written supervisory procedures within Investment Services.


Oversees and supports recruited branch offices throughout the United States and US Territories reporting to the broker dealer’s home office OSJ direct recruited model. These activities include broker dealer and investment advisor sales activity.

Provides on-boarding support to new registered representatives affiliating with LFS home office OSJ direct report model.

Act as a liaison for transitioning practices to the broker dealer home office OSJ direct model.

Provides coaching, development and training to retain quality registered representatives reporting to the home office OSJ direct model.

Connects registered representatives with other broker dealer and enterprise business units to facilitate sales activities.

Ensures that all broker dealer, investment advisor and registered representative’s compliance functions including all rules, regulation, policies and procedures are followed.

Conduct broker dealer’s supervisory branch audit for home office OSJ direct report offices and report results to Compliance. Remedies identified deficiencies and tests for results.

Reviews and approves all outside business activities for LFS registered representative reporting to the home office OSJ direct model

Collaborates with broker dealer OSJs and shares best practices associated with the home office OSJ direct model.

Provides daily supervision for registered representatives and registered administrative positions that report to the home office OSJ direct report model.

Carries out management responsibilities in accordance with broker dealer and LFG policies.

Evaluates performance, coaches for development and manages compensation planning and profitability for home office OSJ direct report model.


Undergraduate degree and 4 years of comparable work experience required

FINRA Series 7, 24, 63, 65, and 66 required


3-5 years of experience in financial services sales and life insurance product knowledge that directly aligns with specific responsibilities for this position

Sound knowledge of regulatory policy including FINRA, SEC, MSRB and state securities regulation.

Previous FINRA supervisory experience

Ability to read and interpret documents such as policies, procedures, regulations.

Ability to read, analyze, and interpret general business periodicals, professional journals, regulatory notices, technical procedures.

Ability to write reports and business correspondence, policies, renewals and proposals.

Previous FINRA supervisory experience preferred.

Knowledge of various financial products, securities regulation and operational workflow.

Drives performance targets to completion

Confident, comfortable communicator with strong written and verbal communication skills.

Strong presentation skills with demonstrated ability to influence at all levels of management through clear, informed and logical discussions/presentations.

Ability to evaluate information and the implications of a course of action or solution.

This position may be subject to Lincoln’s Political Contribution Policy. An offer of employment may be contingent upon disclosing to Lincoln the details of certain political contributions. Lincoln may decline to extend an offer or terminate employment for this role if it determines political contributions made could have an adverse impact on Lincoln’s current or future business interests, misrepresentations were made, or for failure to fully disclose applicable political contributions and or fundraising activities.

Lincoln Financial Group (LFG) is an Equal Opportunity employer and, as such, is committed in policy and practice to recruit, hire, compensate, train and promote, in all job classifications, without regard to race, color, religion, sex (including pregnancy), age, national origin, disability, sexual orientation, gender identity and expression, veterans status, or genetic information. Opportunities throughout LFG are available to employees and applicants and are evaluated on the basis of job qualifications. We have a drug free work environment and we perform pre-employment substance abuse testing.

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Lincoln Financial Group

Lincoln Financial Group Jobs

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Company info

Lincoln National Corporation
Website :

Company Profile
Founded in 1905 with the endorsement of Abraham Lincoln’s son, Robert Todd Lincoln, Lincoln Financial Group is the first and only company to carry Abraham Lincoln’s name, image and ideals at the heart of our brand. For more than a century, we’ve advanced President Lincoln’s inclusive vision and values by building an honest, dependable financial services company. We're dedicated to helping Americans secure better, more optimistic futures for themselves and their loved ones.

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