Associate, Surveillance

Alternate Locations: Radnor, PA (Pennsylvania); Fort Wayne, IN (Indiana); Greensboro, NC (North Carolina); Hartford, CT (Connecticut); Omaha, NE (Nebraska)

Work Arrangement:Hybrid/Home

Relocation assistance:is not available for this opportunity.

Requisition #:67973

General Purpose of Job

The Surveillance Associate will perform and deliver on routine assignments and projects for their assigned area(s) of responsibility. They will develop and execute surveillance reviews to ensure compliance with all guidelines and regulations.

Duties and Responsibilities

Anticipates potential issues addressing changing needs and updated processes to meet regulatory industry standards.

Acts as system admin for applicable system(s) in their assigned business area(s)

Conducts basic surveillance reviews on Registered Representative Outside Brokerage account trade confirms and statements to ensure compliance with all internal policies and applicable industry regulations.

Develops and maintains basic surveillance review documentation.

Escalates identified risks to management as needed.

Anticipates routine processes/systems issues that will require design to meet changing business needs or regulatory requirements

Maintains knowledge on current and emerging developments/trends for assigned area(s) of responsibility.

Evaluates possible solutions to basic surveillance problems while prioritizing and refining those solutions with management's direction and assistance.

Provides trend reporting of violations and training opportunities suggestions to Supervisory Principal and management

Prepares, updates and/or files applicable surveillance and compliance reports, forms, and/or contracts for their assigned area(s).

Performs and delivers on routine assignments/projects for their assigned area(s) of responsibility.

Supports the preparation of responses to regulatory and audit inquiries for their assigned area(s).

Provides effective and open communication with internal/external stakeholders to ensure transparency and consistency of surveillance and compliance actions.

Participates and /or leads workstreams in surveillance projects

Supports and promotes change management and/or departmental/enterprise initiatives within assigned area(s) of responsibility.

Works with field management in order to resolve issues discovered in the review process

Additional Position Responsibilities

Carries out duties in compliance with all state and federal regulations and guidelines. Complies with all company and site policies and procedures.

Makes a positive contribution as demonstrated by: - Making suggestions for improvement - Learning new skills, procedures and processes

Remains current in profession and industry trends.

Performs other duties as required.

Other Skills and Abilities


4 Year/Bachelor's degree or equivalent work experience (4 years of experience in lieu of Bachelor's) - Minimum Required



0 - 1+ Years experience in compliance or surveillance directly aligned with the responsibilities for this position (Required )

Work Arrangement

Hybrid/Home:Employees will work from home generally three days each week and come into a Lincoln office on a schedule their manager will help set, following any applicable in-office training period determined by their manager.

Additional Information

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. Any unsolicited resumes/candidate profiles submitted through our web site or to personal e-mail accounts of employees of Lincoln Financial Group are considered property of Lincoln Financial Group and are not subject to payment of agency fees.

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, Veteran 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.

This Employer Participates in E-Verify. See the E-Verify notices.

Este Empleador Participa en E-Verify. Ver el E-Verify avisos.