Director - FINRA Securities Registration and Licensing

**Date:** Aug 4, 2026 **Primary Location:** Radnor, PA, US **\#job\-location.job\-location\-inline { display:** inline; } **Company:** Lincoln Financial **Alternate Locations:** US Northeast; US Midwest; US Southeast; Work from Home **Work Arrangement:** **Remote :** Work at home employee residing outside of a commutable distance to an office location. **Relocation assistance:** is not available for this opportunity. **Requisition \#:** 76406 The Role at a Glance The Director \- FINRA Securities Registration and Licensing will perform and deliver on routine assignments/projects while simultaneously leveraging and applying knowledge of their assigned area(s) of responsibility. They will serve as subject matter expert on licensing and securities being the single point of contact. What you'll be doing Lead, develop, and mentor a team responsible for registration, licensing, and regulatory administration activities. Establish priorities, objectives, and performance expectations that align with organizational goals. Foster a culture of accountability, continuous improvement, collaboration, and service excellence. Support talent development through coaching, feedback, training, and career development opportunities. Allocate resources effectively to ensure timely and accurate execution of operational responsibilities. Direct all aspects of the broker\-dealer's registration and licensing program, ensuring compliance with FINRA, SEC, state securities, and state insurance requirements. Oversee the administration of Form U4, Form U5, amendments, disclosures, registrations, and terminations. Manage branch office registrations, notice filings, and related regulatory requirements. Ensure the accuracy, completeness, and integrity of registration and licensing records maintained through FINRA systems and related platforms. Provide guidance on licensing, registration, disclosure, and regulatory requirements impacting registered representatives and business operations. Identify, assess, and mitigate regulatory and operational risks within the registration and licensing program. Develop, maintain, and enhance policies, procedures, and controls supporting regulatory compliance. Monitor regulatory developments and evaluate the impact of new or changing requirements on business practices and operational processes. Escalate significant risk, compliance, or regulatory concerns to senior leadership as appropriate. Prepare executive reporting, metrics, and analysis related to registration, licensing, regulatory examinations, and operational performance. Serve as a primary contact for FINRA, SEC, state regulators, internal audit, and compliance reviews involving registration and licensing activities. Lead regulatory examinations, audits, and inquiries by coordinating responses, producing documentation, and managing remediation activities. Partner w