Lincoln Investment · 18 hours ago
Branch Leader
Renton, WA
Full-time
Onsite
Senior Level, Lead/Staff
10+ years expLincoln Investment is an independent broker dealer and registered investment advisor that offers brokerage, investment advisory and other financial services. The Branch Leader role involves providing day-to-day leadership and management of branch office functions, supporting financial professionals, training staff, and ensuring compliance with regulatory procedures.
Insurance
Hiring Manager
Nicole Criswell, PHR
Responsibilities
Office Leadership - Provide day-to-day leadership and management of branch office functions including:
Lead our effort to provide proactive support for financial professionals
Training and assisting financial professionals, sales assistants, and office staff on paperwork, technology and branch compliance procedures
Work with Advisors and Home Office to resolve operational issues
Prepare and present at monthly office meetings and coordinating logistics
Provide answers to client questions via telephone or walk-ins
Provide service support for key employer contacts
Manage daily office operations, including phones, mail, and vendor coordination
Support and coordinate office events and corporate meetings, including scheduling, logistics and preparation of materials
Implement and Drive Consistent Systems with RVP and Sales Support:
Maintain the data on territory management; ensure representation is present
Work with management on reviewing and switching a terminated advisor's book of business
Support sales assistants with creating sales presentation materials as needed
Field Compliance and Supervision:
The BL may serve as the field supervisor in the event of an inspection by compliance or regulatory agency. The field supervisor is the point of contact responsible for executing on the written compliance procedures at the branch level
The BL may also be responsible for day-to-day review of our FIS transaction blotter, email and correspondence review. The OL will escalate to Management as needed
Qualification
Required
Minimum 3 years supervisory experience of investment operations
Minimum 10 years of financial services industry experience
Thorough knowledge of mutual funds
Thorough knowledge of retirement plans, specifically 403(b) and 457(b) plans
Thorough knowledge of Word, Excel and PowerPoint
Customer service, Financial Advisor and Executive interaction experience
Securities licenses required: S7/24. If not currently licensed, will be required to obtain within 3 months of employment
Preferred
College degree preferred but will consider qualified candidates with the right qualifications
Benefits
Competitive compensation and benefits package
Company
Lincoln Investment
As a full-service broker-dealer and registered investment adviser, Lincoln Investment knows that there are many destinations along your life’s journey that require financial security.
201-500 employees
Funding
Current Stage
Growth StageTotal Funding
unknownKey Investors
Lovell Minnick Partners
2010-01-29Private Equity
Leadership Team
Diane McCarthy
Chief Financial Officer
Kevin O'Leary
Executive Vice President, Chief Growth Officer
Recent News
2025-06-12
Company data provided by crunchbase