Director – FINRA Securities Registration and Licensing

This is a fully remote position, open to applicants in Pennsylvania.

📋 Description

• Lead, develop, and mentor a team that handles registration, licensing, and regulatory administration activities.

• Set priorities, objectives, and performance expectations that align with organizational goals.

• Oversee the broker-dealer’s registration and licensing program, ensuring compliance with FINRA, SEC, state securities, and state insurance regulations.

• Manage Form U4, Form U5, amendments, disclosures, registrations, terminations, branch registrations, and notice filings.

• Ensure accurate maintenance of registration and licensing records through FINRA systems and affiliated platforms.

• Identify and address regulatory and operational risks.

• Develop and improve compliance policies, procedures, and controls.

• Keep track of regulatory changes and evaluate their effects on business practices.

• Prepare executive reports, metrics, and analyses.

• Act as the primary liaison for FINRA, SEC, state regulators, internal audits, and compliance reviews.

• Lead regulatory examinations, audits, and inquiries; coordinate responses and remedial actions.

• Collaborate with Compliance, Legal, Risk, field leaders, sales leaders, recruiting, and HR on onboarding, transitions, and offboarding.

• Provide guidance to stakeholders on disclosures, registration requirements, licensing strategies, and regulatory considerations.

• Spearhead continuous improvement initiatives and manage registration technology platforms, vendors, entitlements, and enhancements.

• Monitor operational performance and promote process improvements.

⛳️ Requirements

• Bachelor’s degree or equivalent work experience; 4 years of relevant experience can substitute for the degree.

• Degree or equivalent experience in Business Information Technology.

• 5–7+ years of compliance experience directly related to the responsibilities of this role.

• Strong knowledge and experience in licensing and securities.

• FINRA SIE is required at the time of hire.

• FINRA Series 6 or Series 7 is required at the time of hire.

• FINRA Series 63 must be obtained within 120 days of the start date.

• Series 24 or Series 26 must be obtained within 90 days of the start date.

• Willingness to travel domestically up to 5%.

🏝️ Benefits

• Clearly defined career paths and job levels.

• Opportunities for leadership development and virtual training.

• Paid time off and parental leave.

• Competitive 401K and employee benefits.

• Complimentary financial counseling, health coaching, and employee assistance programs.

• Tuition assistance program available.

• Flexible work arrangements.

• Access to effective productivity tools and training.

• Eligibility for an Annual Incentive Program.

• Potential for long-term incentives.

• Possibility of sales incentives.

• Lincoln’s standard benefits package.