Licensing Specialist

Licensing Specialist

Location: Fort Washington, PA (Hybrid)

Basic Functions: The Licensing Specialist is responsible for processing the following registrations for the corporation and its individual representatives/agents; federal (FINRA) and state securities registrations, investment advisor registrations, as well as insurance appointments. This includes all licensing functions for Lincoln Investment and its related companies.

General Responsibilities

Insurance Licensing:

• Process state licenses.
• Handle insurance company appointment and terminations.

FINRA Registrations:

• Prepare, file and update U-4 and U-5 applications.
• Process state registrations and exam requests.
• File and update Form BR applications.
• Review of appropriate state securities registrations based on client state of residence.

Licensing Support:

• Provide assistance to branch managers, branch administrators, financial professionals, branch operations and servicing teams, commissions, and end user support.

Investment Advisor Representative Registrations:

• Process state registrations, terminations, and issue and maintain partnership numbers.

Client Re-assignments and Reassignments:

• Issue and maintain partnership numbers for book purchases and one-offs.

Other Responsibilities:

• Process designation updates.
• Zen Desk ticket assigning and processing.
• Maintain financial professional bios.
• Other administrative tasks as needed.

Required Knowledge/Experience:

• Processing experience in brokerage licensing, compliance, and/ or operations environment or advanced level clerical experience.
• Word processing and spreadsheet experience.

Preferred:

• Previous experience or knowledge of FINRA and/or insurance licensing functions.

Education/Training:

• High school diploma or equivalent combination of education and experience.

Skills Required:

• Detail-oriented.
• Customer service orientation.
• Organizational and time management skills.

Physical/Other Requirements:

• May sit at workstation for extended periods of time.
• May view computer screen for extended periods of time.
• Periods of fast pace are typical when meeting deadlines.
• Able to work extended hours on occasion when necessary.

Lincoln Investment recognized as one of Philadelphia's Top Workplaces for fifteen years, is an independent broker dealer and registered investment advisor that offers brokerage, investment advisory and other financial services. Lincoln has over 1,000 financial advisors nationwide and we serve over 350,000 clients representing over $36 billion in assets. We are a majority family-owned financial services firm that regards our employees as integral players in our continuous growth. Lincoln Investment's success is built upon our dedication to helping people retire well and promoting a work environment that fosters success. Our financial strength and profitability are natural results of "helping people, having fun, and enjoying success." Lincoln Investment offers a competitive compensation and benefits package. Our Home Office is conveniently located in Fort Washington, PA, just outside of Philadelphia.

Lincoln Investment is an equal opportunity employer. Lincoln Investment prohibits discrimination and harassment of any type and affords equal employment opportunities to employees and applicants without regard to race, color, religion, sex, sexual orientation, gender identity or expression, pregnancy, age, national origin, disability status, genetic information, protected veteran status, or any other characteristic protected by law. Lincoln Investment conforms to the spirit as well as to the letter of all applicable laws and regulations.