Lincoln Investmentposted 2 months ago
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.
