Manager, Succession Reporting & Governance

Lincoln Investment recognized as one of Philadelphia's Top Workplaces for fifteen years, is an independent broker dealer and registered investment advisor that offers brokerage, investment advisory and other financial services. Lincoln has over 1,000 financial advisors nationwide and we serve over 350,000 clients representing over $36 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 Manager, Succession Reporting & Governance supports the broker-dealer’s enterprise approach to leadership continuity by delivering high-quality succession reporting, analytics, and governance support across the organization. The role focuses on translating succession planning activity into clear, credible reporting that helps Financial Professionals and firm leadership understand leadership readiness, supervisory coverage, and transition risk.
Responsibilities
1. Succession Reporting for Financial Professionals & Field Leadership
◦ Own succession reporting for roles critical to advisor oversight and success, including Branch Managers, market leaders, and field executives.
◦ Develop dashboards and reporting that show readiness, coverage, transition timelines, and risk concentration across the field.
◦ Identify gaps that could affect advisor supervision, client service continuity, or business momentum.
◦ Partner with Field Leadership to ensure succession reporting reflects the realities of advisor businesses and regional markets.
2. Advisor Practice & Business Continuity Insight
◦ Support reporting that informs advisor transition planning, retirement readiness, and practice continuity at scale.
◦ Highlight trends that could impact AUM retention, client experience, and practice enterprise value.
◦ Provide leadership with forward-looking insight into where succession risk may affect advisor growth or recruiting.
3. Succession Reporting & Analysis
◦ Produce and maintain succession reporting for field leadership and branch managers, as well as select home-office and executive positions.
◦ Develop dashboards, scorecards, and standardized reporting that measure readiness, coverage, bench strength, and transition timing.
◦ Analyze trends related to leadership gaps, single-incumbent risk, and readiness timelines, and escalate insights to senior leaders as appropriate.
◦ Ensure succession data is accurate, well-documented, and suitable for executive and governance review.
4. Partnership with Financial Professionals & Field Leadership
◦ Work with Field Leadership and Financial Professional stakeholders to ensure succession reporting reflects real-world advisor business dynamics.
◦ Provide insight into how leadership continuity supports advisor supervision, client experience, practice stability, and retention.
◦ Support leadership transitions by providing data that informs communication, readiness assessment, and continuity planning.
◦ Serve as a trusted analytical partner to field leaders on succession-related questions and scenarios.
5. Metrics & Impact Tracking
◦ Track and report key succession impact metrics, including:
▪ AUM and advisor populations associated with uncovered roles
▪ Readiness timelines and bench depth trends
▪ Leadership concentration and transition risk indicators
◦ Support forward-looking analysis that helps leadership anticipate succession risk tied to growth, retirements, or organizational change.
6. Branch Policy
◦ Develop, implement, and oversee branch policies and procedures to ensure consistent application across all offices.
◦ Provide guidance to branch leadership on policy interpretation.
◦ Partner with Compliance and Risk Management to identify, assess, and remediate branch-level risks and policy exceptions.
◦ Ensure branch policies align with firm-wide governance standards and evolving regulatory requirements.
7. Continuous Improvement & Reporting Standards
◦ Help evolve succession reporting frameworks as the firm grows, acquires practices, or changes supervisory models.
◦ Establish and follow data governance standards to ensure reporting