Director – FINRA Securities Registration and Licensing

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🔥 34 minutes ago

🔔 Pennsylvania – Remote

🔔 Pennsylvania – Remote

💵 $96.9k - $176.2k / year

⏰ Full Time

🔴 Lead

👔 Director

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Lincoln Financial

WebsiteLinkedInAll Job Openings

10,000+ employees

Founded 1905

💼 Consulting

⚖️ Legal

💸 Finance

Consulting • Legal • Finance

Lincoln Financial is an organization dedicated to protecting the privacy and security of its job applicants. It actively informs candidates about potential recruitment scams and outlines its robust hiring procedures, making clear that they do not request sensitive personal information during the application process. The company offers a diverse range of career opportunities across various fields including actuarial, finance, legal, and customer service, and is committed to maintaining equal employment opportunities.

📋 Description

• 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

🎯 Requirements

• 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%

🏖️ Benefits

• 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