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Broker Dealer Operations Processor

Lincoln Financial Group Philadelphia, PA

Job Description

Alternate Locations:Philadelphia, PA (Pennsylvania)

Relocation assistance is not available for this opportunity.

Requisition #61101

About the Company

Lincoln Financial Group, a Fortune 250 company with over 10,000 employees, provides advice and solutions that help empower Americans to take charge of their financial lives with confidence. Our core business areas Life Insurance, Annuities, Retirement Plan Services and Group Protection focus on supporting, preserving and enhancing over 17 million customers lifestyles and retirement outcomes.

Headquartered in Radnor, Pennsylvania, Lincoln Financial Group is the marketing name for Lincoln National Corporation (NYSE: LNC) and its affiliates. The company had $253 billion in assets under management as of December 31, 2017.

Ranked one of the Best Large Employers in America by Forbes magazine, Lincoln Financial Group makes a serious investment in our employees futures through a broad range of wealth accumulation and protection plans, health and wellness programs, and career development resources designed to help each individual reach their personal and professional goals.

The Role

Lincoln Financial Advisors (LFA) and Lincoln Financial Securities (LFS) are both member broker dealers of Lincoln Financial Network (LFN), the retail distribution force for Lincoln Financial Group (LFG), the marketing name for Lincoln National Corporation (LNC) and its affiliates.  Our Operations Processor position is located within the LFN Investment Services Department and will work independently within a team to provide workflow related services and expertise to both internal and external customers and is integral to the success of the broker-dealer back office operation.



  • Processes client maintenance requests such as name, address or beneficiary changes, account documentation updates, etc.
  • May participate in establishing brokerage/advisory accounts
  • Processes field representative code migrations and delivers changes to appropriate sponsor and clearing firms
  • Successfully completes regulatory and job training requirements
  • Makes a positive contribution by making suggestions for improvement and continuing to learn new skills, procedures and processes
  • Administers all business in accordance with FINRA, SEC, MSRB and OCC regulations while adhering to company and site policies and procedures
  • Identifies and resolves items within the imaging system
  • Monitors team email inbox for internal requests and handles accordingly
  • Maintains updated list of sponsor company contact information including addresses and fax numbers
  • Prepares form letters to notify sponsor companies of representative or client updates
  • Processes checks, wires and EFTs for client accounts
  • Set-up systematic money movement plans



  • High School Degree, some college preferred
  • Series 6 preferred



  • Internship experience in the financial services industry that directly aligns with the specific responsibilities preferred
  • Analytical skills and close attention to detail is necessary to determine proper processing of investment documents
  • Effective verbal and written communication skills
  • Reading skills to interpret documents in standard English text such as policies, proposals, applications and procedures
  • Skill in writing grammatically correct routine business correspondence such as brief transmittal memoranda
  • Spanish or other foreign language skills a plus
  • Skill in analyzing information, problems, situations, practices or procedures
  • Skill in systematically arranging documents into groups or categories according to established criteria
  • Ability to prioritize work based on business needs
  • Ability to multitask between daily and weekly work assignments
  • Ability to adapt quickly in a changing work environment
  • Ability to work independently in a team environment

This position may be subject to Lincolns 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 Lincolns current or future business interests, misrepresentations were made, or for failure to fully disclose applicable political contributions and or fundraising activities.

Any unsolicited resumes/candidate profiles submitted through our web site or to personal e-mail accounts of employees of Lincoln Financial Group are considered property of Lincoln Financial Group and are not subject to payment of agency fees.

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.


Job Details

Date Posted September 13, 2019
Date Closes October 13, 2019
Requisition 61101-en_US
Located In Philadelphia, PA
Department Customer Service
SOC Category 00-0000.00