Supervisory Principal Consultant

**Date:** Sep 29, 2026 **Primary Location:** Radnor, PA, US **Company:** Lincoln Financial **Alternate Locations:** US East; US Central; US Mid\-Atlantic; US Midwest; US Northeast; US South; US Southeast; Work from Home **Work Arrangement:** Remote : Work at home employee residing outside of a commutable distance to an office location. **Relocation assistance:** is not available for this opportunity. **Requisition \#:** 76693 **The Role at a Glance** ------------------------ The Supervision Consultant supports the day\-to\-day oversight of registered representatives in a wholesale broker\-dealer environment. This role is a first line of defense embedded in the business, focused on high\-volume supervision, risk management, and operational execution. The Supervision Consultant will oversee activities such as communications, non\-cash compensation (NCC), and marketing — helping the business move efficiently while staying aligned with regulatory requirements. This role will supervise wholesalers who partner with financial professionals — with a focus on sales engagement, communications, and behavioral risk. **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 (e.g., 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 without slowing down business * Building expertise in key areas and improving consistency and quality across reviews **What we’re looking for** -------------------------- *Must\-Haves* * 4 Year/Bachelor's degree or equivalent work experience (4 years of experience in lieu of Bachelor's) (Minimum Required) * 3–5\+ years in broker\-dealer supervision, compliance, or related experience * Strong understanding of FINRA supervision requirements * FINRA SIE and FINRA Series 6 or 7 required at time of hire * FINRA Series 63 obtained within 120 days of start date * Series 24 or Series 26 within 90 days of start date *TRAVEL REQUIREMENTS* Travel Type: National Domestic Travel Amount: up to 5% **What’s it like to work here?** At Lincoln Financial, we love what we do. We make meaningful contributions each and every day to empower our customers to take charge of their lives. Working alongside dedi