Lincoln Investment is recognized as one of Philadelphia's Top Workplaces for sixteen years, is an independent broker dealer and registered investment advisor that offers brokerage, investment advisory and other financial services. Lincoln has about 1,000 financial professionals nationwide and we serve over 310,000 clients representing over $60 billion in assets. We are a majority family-owned financial services firm that regards our employees as integral players in our continuous growth. Lincoln Investment's success is built upon our dedication to helping people retire well and promoting a work environment that fosters success. Our financial strength and profitability are natural results of "helping people, having fun, and enjoying success." Lincoln Investment offers a competitive compensation and benefits package. Our Home Office is conveniently located in Fort Washington, PA, just outside of Philadelphia.
Basic Function: The Securities Trade Desk is a highly visible, fast paced team responsible for providing trade execution, involving equities, fixed income, options, and mutual fund transactions. Position supports oversight in margin activity, corporate actions, execution quality review, trade reporting, error corrections and other special projects and assignments as needed.
Responsibilities
- Call center environment taking calls from representatives, clients, and both internal and external partners from 8:30 AM to 5:00 PM Eastern.
- Analyze, identify, and resolve basic problems with clearing firm and representatives relating to client accounts.
- Respond to inquiries from representatives regarding department policies and procedures, trading practices, clearing firm and industry procedures.
- Coach representatives on industry best practices and procedures. Ensure compliance with FINRA, SEC, other regulatory & Lincoln procedures in conversations and other communications with representatives.
- Executes security transactions to achieve the best possible result for client and representatives.
- Review and approve trades.
- Provide accurate and timely review and processing of all trade desk supported activities.
- Review requests for clearing firm and Lincoln good order standards.
Knowledge/Experience
- 1-3 years' experience selling/trading stocks, bonds, mutual funds or variable annuities Helpful: - Experience with Lincoln Investment operations and/or experience with another transfer agent, broker/dealer, or mutual fund company with knowledge of Operations.
- Experience with Pershing’s NetX360 a plus
- Experience with Managed Accounts a plus
Skills
- In-depth knowledge of investments, their suitability, and operational features
- Basic knowledge of securities back-office operations, trading securities, maintaining accounts and customer service - Excellent Customer Service Skills
- Working knowledge of office systems used; able to work in a multi-system IT environment.
- Well organized and detail oriented
- Ability to work effectively in a fast paced, team environment.
- Able to establish and maintain effective relationships with diverse groups: clients, representatives, internal staff.
- Excellent verbal and written communication skills; ability to communicate effectively in person and by telephone.
- Project management capabilities
Education/Registration
- FINRA Series 7 and 63 or 66 required.
- FINRA Series 24, 4, and 53 a plus.
- Bachelor’s degree in business, marketing or finance preferred or equivalent work related experience.
Physical/Other Requirements: May sit at workstation for extended periods of time; may view video display screen for extended periods of time also. Periods of fast pace are normal particularly when working to meet deadlines.
Lincoln Investment is an equal opportunity employer. Lincoln Investment prohibits discrimination and harassment of any type and affords equal employment opportunities to employees and applicants without regard to race, color, religion, sex, sexual orientation, gender identity or expression, pregnancy, age, national origin, disability status, genetic information, protected veteran status, or any other characteristic protected by law. Lincoln Investment conforms to the spirit as well as to the letter of all applicable laws and regulations.
Skills Required
- 1-3 years of experience selling or trading stocks, bonds, mutual funds, or variable annuities
- In-depth knowledge of investments, suitability, and operational features
- Basic knowledge of securities back-office operations, securities trading, account maintenance, and customer service
- Excellent customer service skills
- Ability to work in a multi-system IT environment
- Strong organization and attention to detail
- Ability to work effectively in a fast-paced team environment
- Excellent verbal and written communication skills
- FINRA Series 7 and Series 63 or 66
- Bachelor's degree in business, marketing, or finance, or equivalent work-related experience
- Experience with Lincoln Investment operations or another transfer agent, broker-dealer, or mutual fund company
- Experience with Pershing NetX360
- Experience with managed accounts
- FINRA Series 24, Series 4, or Series 53
- Project management capabilities
What We Do
Lincoln Property Company is a diversified commercial real estate firm founded in Dallas in 1965. It provides nationwide leasing, property management, development, and investment services across office, industrial, retail, multifamily, and mixed-use properties. The company operates as a private real estate services and operating company, serving property owners and investors through an integrated platform of real estate development and management capabilities.
