[Hiring] Director - FINRA Securities Registration and Licensing @Lincoln Financial

Role Description

The Director - FINRA Securities Registration and Licensing will perform and deliver on routine assignments/projects while simultaneously leveraging and applying knowledge of their assigned area(s) of responsibility. They will serve as subject matter expert on licensing and securities being the single point of contact.

• Lead, develop, and mentor a team responsible for registration, licensing, and regulatory administration activities.
• Establish priorities, objectives, and performance expectations that align with organizational goals.
• Foster a culture of accountability, continuous improvement, collaboration, and service excellence.
• Support talent development through coaching, feedback, training, and career development opportunities.
• Allocate resources effectively to ensure timely and accurate execution of operational responsibilities.
• Direct all aspects of the broker-dealer's registration and licensing program, ensuring compliance with FINRA, SEC, state securities, and state insurance requirements.
• Oversee the administration of Form U4, Form U5, amendments, disclosures, registrations, and terminations.
• Manage branch office registrations, notice filings, and related regulatory requirements.
• Ensure the accuracy, completeness, and integrity of registration and licensing records maintained through FINRA systems and related platforms.
• Provide guidance on licensing, registration, disclosure, and regulatory requirements impacting registered representatives and business operations.
• Identify, assess, and mitigate regulatory and operational risks within the registration and licensing program.
• Develop, maintain, and enhance policies, procedures, and controls supporting regulatory compliance.
• Monitor regulatory developments and evaluate the impact of new or changing requirements on business practices and operational processes.
• Escalate significant risk, compliance, or regulatory concerns to senior leadership as appropriate.
• Prepare executive reporting, metrics, and analysis related to registration, licensing, regulatory examinations, and operational performance.
• Serve as a primary contact for FINRA, SEC, state regulators, internal audit, and compliance reviews involving registration and licensing activities.
• Lead regulatory examinations, audits, and inquiries by coordinating responses, producing documentation, and managing remediation activities.
• Partner with Compliance, Legal, Risk, and business leaders to ensure timely and accurate responses to regulatory requests.
• Track and resolve examination findings, audit observations, and corrective action plans.
• Partner with field leaders, sales leaders, recruiting teams, HR, and Compliance to support advisor onboarding, transitions, and offboarding activities.
• Advise stakeholders on disclosure matters, registration requirements, licensing strategies, and regulatory considerations.
• Support business initiatives by assessing registration and licensing impacts and recommending compliant solutions.
• Build and maintain effective relationships across the organization to promote transparency, efficiency, and regulatory compliance.
• Lead continuous improvement initiatives to enhance efficiency, scalability, controls, and user experience.
• Oversee registration-related technology platforms, vendor relationships, entitlement administration processes, and system enhancements.
• Monitor operational performance through key metrics, trend analysis, and reporting.
• Drive process improvements that reduce risk, improve service delivery, and support organizational growth.

Qualifications

• 4 Year/Bachelor's degree or equivalent work experience (4 years of experience in lieu of Bachelor's) in Business Information Technology (Minimum Required)
• 5 – 7+ Years experience in compliance that directly aligns with the specific responsibilities for this position (Required)
• Strong understanding and experience in licensing and securities
• 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 obtained within 90 days of start date

Requirements

• Travel Type: National Domestic
• Travel Amount: up to 5%

Benefits

• Clearly defined career tracks and job levels, along with associated behaviors for each of Lincoln's core values and leadership attributes
• 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