Alternate Locations: US Northeast; US Midwest; 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 #: 76406

The Role at a Glance

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.

What you'll be doing

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, and 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.

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) 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

TRAVEL REQUIREMENTS

Travel Type: National Domestic

Travel Amount: up to 5%

Application Deadline

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 dedicated and talented colleagues, we build fulfilling careers and stronger communities through a company that values our unique perspectives, insights and contributions and invests in programs that empower each of us to take charge of our own future.

What's in it for you:

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

The pay range for this position is $96,900 - $176,200 with anticipated pay for new hires between the minimum and midpoint of the range and could vary above and below the listed range as permitted by applicable law. Pay is based on non-discriminatory factors including but not limited to work experience, education, location, licensure requirements, proficiency and qualifications required for the role. The base pay is just one component of Lincoln's total rewards package for employees. In addition, the role may be eligible for the Annual Incentive Program, which is discretionary and based on the performance of the company, business unit and individual. Other rewards may include long-term incentives, sales incentives and Lincoln's standard benefits package.

About The Company

Lincoln Financial (NYSE: LNC) helps people to confidently plan for their version of a successful future. We focus on identifying a clear path to financial security, with products including annuities, life insurance, group protection, and retirement plan services.

With our 120-year track record of expertise and integrity, millions of customers trust our solutions and service to help put their goals in reach.

Lincoln Financial Distributors, a broker-dealer, is the wholesale distribution organization of Lincoln Financial. Lincoln Financial is the marketing name for Lincoln Financial Corporation and its affiliates including The Lincoln National Life Insurance Company, Fort Wayne, IN, and Lincoln Life & Annuity Company of New York, Syracuse, NY. Lincoln Financial affiliates, their distributors, and their respective employees, representatives and/or insurance agents do not provide tax, accounting or legal advice.

Lincoln is committed to creating an inclusive environment and is proud to be an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, gender, gender identity or expression, sexual orientation, national origin, genetics, disability, age, or veteran status.

Follow us on Facebook , X , LinkedIn , Instagram , and YouTube . For the latest company news, visit our newsroom .

Be Aware of Fraudulent Recruiting Activities

If you are interested in a career at Lincoln, we encourage you to review our current openings and apply on our website. Lincoln values the privacy and security of every applicant and urges all applicants to diligently protect their sensitive personal information from scams targeting job seekers. These scams can take many forms including fake employment applications, bogus interviews and falsified offer letters.

Lincoln will not ask applicants to provide their social security numbers, date of birth, bank account information or other sensitive information in job applications. Additionally, our recruiters do not communicate with applicants through free e-mail accounts (Gmail, Yahoo, Hotmail) or conduct interviews utilizing video chat rooms. We will never ask applicants to provide payment during the hiring process or extend an offer without conducting a phone, live video or in-person interview. Please contact Lincoln's fraud team at if you encounter a recruiter or see a job opportunity that seems suspicious.

Additional Information

This position may be subject to Lincoln's Political Contribution Policy. An offer of employment may be contingent upon disclosing to Lincoln the details of certain political contributions. Lincoln may decline to extend an offer or terminate employment for this role if it determines political contributions made could have an adverse impact on Lincoln's current or future business interests, misrepresentations were made, or for failure to fully disclose applicable political contributions and or fundraising activities.

Any unsolicited resumes or candidate profiles submitted through our web site or to personal e-mail accounts of employees of Lincoln Financial are considered property of Lincoln Financial and are not subject to payment of agency fees.

Lincoln Financial ("Lincoln" or "the Company") is an Equal Opportunity employer and, as such, is committed in policy and practice to recruit, hire, compensate, train and promote, in all job classifications, without regard to race, color, religion, sex, age, national origin or disability. Opportunities throughout Lincoln are available to employees and applicants are evaluated on the basis of job qualifications. If you are a person with a disability that impedes your ability to express your interest for a position through our online application process, or require TTY/TDD assistance, contact us by calling .

This Employer Participates in E-Verify. See the E-Verify notices.

Este Empleador Participa en E-Verify. Ver el E-Verify avisos.

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