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Manager, Broker Dealer Registration - Philadelphia, PA

Lincoln Financial Group
Philadelphia, PA
View Lincoln Financial Group Company Profile


Alternate Locations: Philadelphia, PA (Pennsylvania)

Relocation assistance is not available for this opportunity.

Requisition #37582

About the Company

Lincoln Financial Group provides advice and solutions that help empower people to take charge of their financial lives with confidence and optimism. Today, more than 17 million customers trust our retirement, insurance and wealth protection expertise to help address their lifestyle, savings and income goals, as well as to guard against long-term care expenses. Headquartered in Radnor, Pennsylvania, Lincoln Financial Group is the marketing name for Lincoln National Corporation (NYSE: LNC) and its affiliates.

The Role

The Manager of Broker Dealer Registration will manage a team and processes to provide new and existing Advisors with the best possible service in relation to their FINRA affiliation with Lincoln Financial Network (“LFN”).  They will specifically manage the registration process for over 4,600 Lincoln Financial Advisors and Lincoln Financial Securities broker-dealer affiliated individuals.  They will also develop and maintain relationships with our LFN Advisors. 


  • Oversees the Registration team to ensure top level is provided.
  • Oversees the annual FINRA Renewal and E&O Renewals.
  • Handles resolution of escalated issues.
  • Ensures all Regulatory and internal requirements are met by our Advisors.
  • Acts as liaison with Legal and Compliance on various issues and requests.
  • Tightly monitors workflow to ensure all requests meet regulatory requirements.
  • Maintains knowledge on current and emerging developments/trends for assigned area(s) or responsibility, assess the impact, and collaborates with management to incorporate new trends and developments in current and future solutions.
  • Manages and enhances organizational initiatives by positively influencing and supporting change management and/or departmental/enterprise initiatives within assigned area(s) of responsibility.
  • Establishes and implements individual and team priorities, performance goals and objectives to ensure completion of responsibility for his/her assigned area(s) of responsibility.
  • Provides training and development opportunities, including stretch assignments, for team members and gives honest and open feedback to aid in the development of talent.
  • Manages and evaluates individual/team performance and takes appropriate action to meet and/or exceed performance standards for assigned area(s) of responsibility.
  • Identifies and recommends process improvements that significantly reduce workloads or improve quality across for his/her assigned area(s) of responsibility.
  • Serves as a resource to team members and internal/external stakeholders on more complex assignments/projects for his/her assigned area(s) of responsibility.
  • Manages assigned area(s) of responsibility to ensure workloads are appropriately balanced among team members.
  • Ensures that top talent is hired and retained for his/her assigned area(s) of responsibility.
  • Builds organizational capability within his/her assigned area(s) of responsibility.
  • Manages a team and processes for his/her assigned area(s) of responsibility.
  • Creates and maintains training calendar and allocates training resources according to business priorities.
  • Conducts regular training forecasting meetings with clients to update training plans.
  • Develops internal train the trainer training programs for team members by actively seeking to understand new technologies to improve training effectiveness and learner engagement.


Undergraduate degree or 4+ years of comparable work experience

  • FINRA Series 7, 24 required within 120 days of hire.  Series 66 preferred.


  • 5-7 years of experience in the financial services industry that directly aligns with the specific responsibilities, including 2+ years of managerial, supervisory, and/or demonstrated leadership experience.
  • Confident, comfortable communicator with strong written and verbal communication skills. 
  • Successfully completes regulatory and job training requirements.
  • Demonstrated ability to ensure workloads are appropriately balanced among team members.
  • Demonstrated strong relationship management skills with internal clients (e.g. management, peers and colleagues); proven ability to develop collaborative approaches.
  • Demonstrates ability to identify and recommend processes improvements.
  • Demonstrates ability to successfully hire, retain, develop and coach staff via a culture of real-time performance feedback, with ability to build both technical and leadership skills.
  • Demonstrates excellent organizational skills with the ability to prioritize workload and multi-task while maintaining strict attention to detail.
  • Demonstrates strong interpersonal skills with a collaborative style.
  • Demonstrates the ability to use sound judgment and discretion regarding confidential information.
  • Finds common ground and can gain collaboration among management, colleagues and peers; can influence outcomes without directing or commanding.
  • Proficiency with Microsoft Office Suite (Word, Excel, PowerPoint, Outlook).
  • Strong project management skills including, critical ability to coordinate and balance multiple projects in a time-sensitive environment, under pressure, and meeting deadlines.


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.

Lincoln Financial Group (“LFG”) 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 (including pregnancy), age, national origin, disability, sexual orientation, gender identity and expression, veterans status, or genetic information.  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 260-455-2558.


  • JobId: 424218700A1
  • Posted / Updated: 9/14/2017