Job: Surveillance Analyst

Jobing Description

RESPONSIBILITY SUMMARY:

The Surveillance Analyst is responsible for principal review of all trading activity for the Lincoln Financial Securities ("LFS") Broker-Dealer, evaluating client trade suitability and overall firm risk. Transaction review will be for all trades placed by LFS Registered Representatives and trades placed through external vender/partner relationships. The Analyst will be responsible for analyzing complex trade suitability, trade risk, legal, compliance, and regulatory issues while working to develop solutions that satisfy the needs of the customer and firm. They must continue to monitor an ever changing regulatory environment and be proactive in working with management to implement new procedures and policies. The position is also responsible for the oversight, detection, and prevention of violations of LFS procedures and securities industry rules and regulations.

* Identify product and sales practices that present higher liability to the firm
* Work with staff, OSJ Managers and Advisors to mitigate this risk
* Builds and maintains a broad knowledge base of the securities industry (regulatory, markets, products, processes, and operational methodologies) and on technology and system
* Facilitate the suitability review of all direct business, and monitoring brokerage account trade activity (mutual fund, equity, fixed income, options, etc.); ensuring compliance with all internal procedures and applicable industry regulations
* Monitor & analyze exception reports
* Prepare presentations and written communications to staff and field
* Identify and implement process improvements
* Measure, track, analyze, and report statistical data
* Demonstrate sound judgment while resolving issues
* Maximize existing reporting resources and develop additional resources, as regulatory and business needs require
* Prepare, maintain & update internal databases and reports using multiple resources
* Conduct special investigations and research

Job Requirements

* College Degree required.
* FINRA Series 7 & 24 required.
* FINRA Series 53 required within 90 days of hire and Series 4 required within 6 months of hire.

Additional Details

How To Apply

Only on-line applications will be considered.

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.

Lincoln Financial Group is the marketing name for Lincoln National Corporation and its affiliates.

Lincoln Shared Values: Integrity, Commitment to Excellence, Responsibility, Respect, Fairness, Diversity, Employee Ownership.

Lincoln Affiliates Lincoln Financial Network
Lincoln Financial Network
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