Licensing Specialist

Lincoln Investment • Fort Washington, PA

352d

About The Position

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.

Requirements

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

Nice To Haves

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

Responsibilities

• Process state licenses for insurance.
• Handle insurance company appointment and terminations.
• Prepare, file and update U-4 and U-5 applications for FINRA registrations.
• Process state registrations and exam requests for FINRA.
• File and update Form BR applications.
• Review appropriate state securities registrations based on client state of residence.
• Provide assistance to branch managers, branch administrators, financial professionals, branch operations and servicing teams, commissions, and end user support.
• Process state registrations, terminations, and issue and maintain partnership numbers for Investment Advisor Representative Registrations.
• Issue and maintain partnership numbers for client re-assignments and book purchases.
• Process designation updates.
• Assign and process Zen Desk tickets.
• Maintain financial professional bios.
• Perform other administrative tasks as needed.

Benefits

• Competitive compensation and benefits package.

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level
• Industry: Management of Companies and Enterprises
• Education Level: High school or GED
• Number of Employees: 501-1,000 employees