Director – FINRA Securities Registration and Licensing

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🕒 2 dias atrás

🔔 Pennsylvania – Remoto

🔔 Pennsylvania – Remote

💵 $96.900 - $176.200 / ano

⏰ Tempo Integral

🔴 Especialista

👔 Diretor

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Lincoln Financial

SiteLinkedInTodas as Vagas

10.000+ funcionários

Fundada em 1905

💼 Consultoria

⚖️ Jurídico

💸 Finanças

Consulting • Legal • Finance

A Lincoln Financial é uma organização dedicada a proteger a privacidade e segurança de seus candidatos a emprego. Ela informa ativamente os candidatos sobre possíveis golpes de recrutamento e descreve seus procedimentos de contratação robustos, deixando claro que não solicita informações pessoais sensíveis durante o processo de aplicação. A empresa oferece uma gama diversificada de oportunidades de carreira em vários campos, incluindo atuária, finanças, jurídico e atendimento ao cliente, e está comprometida em manter igualdade de oportunidades de emprego.

Descrição

• Lead, develop, and mentor a team responsible for registration, licensing, and regulatory administration activities • Establish priorities, objectives, and performance expectations aligned with organizational goals • Direct the broker-dealer’s registration and licensing program, ensuring FINRA, SEC, state securities, and state insurance compliance • Oversee Form U4, Form U5, amendments, disclosures, registrations, terminations, branch registrations, and notice filings • Maintain accurate registration and licensing records through FINRA systems and related platforms • Identify and mitigate regulatory and operational risks • Develop and enhance compliance policies, procedures, and controls • Monitor regulatory developments and assess impacts on business practices • Prepare executive reporting, metrics, and analysis • Serve as primary contact for FINRA, SEC, state regulators, internal audit, and compliance reviews • Lead regulatory examinations, audits, and inquiries; coordinate responses and remediation • Partner with Compliance, Legal, Risk, field leaders, sales leaders, recruiting, and HR on onboarding, transitions, and offboarding • Advise stakeholders on disclosures, registration requirements, licensing strategies, and regulatory considerations • Lead continuous improvement initiatives and oversee registration technology platforms, vendors, entitlements, and enhancements • Monitor operational performance and drive process improvements

🎯 Requisitos

• 4 Year/Bachelor's degree or equivalent work experience; 4 years of experience may substitute for the Bachelor's degree • Degree or equivalent experience in Business Information Technology • 5–7+ years of compliance experience directly aligned with the role’s responsibilities • Strong understanding and experience in licensing and securities • FINRA SIE required at time of hire • FINRA Series 6 or Series 7 required at time of hire • FINRA Series 63 obtained within 120 days of start date • Series 24 or Series 26 obtained within 90 days of start date • Ability to travel nationally domestically up to 5%

🏖️ Benefícios

• Clearly defined career tracks and job levels • Leadership development and virtual training opportunities • PTO/parental leave • Competitive 401K and employee benefits • Free financial counseling, health coaching and employee assistance program • Tuition assistance program • Work arrangements that work for you • Effective productivity/technology tools and training • Annual Incentive Program eligibility • Long-term incentives may apply • Sales incentives may apply • Lincoln’s standard benefits package