Licensing Specialist

Lincoln Investment - Fort Washington, PA

Full-time - Entry Level

Fort Washington, PA

501-1,000 employees

Management of Companies and Enterprises

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.

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.

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.

Benefits

• Competitive compensation and benefits package.