Licensing & Registration Lead – FINRA/Compliance

Cetera Financial Group Inc; Dallas (TX); Hybrid; USD 65,000 - 90,000; Full time

Job summary

Cetera Financial Group Inc. in Dallas, TX is seeking an Introducing Senior Licensing & Registration Professional to support licensing, registrations, and regulatory compliance.

The role may be hybrid after a successful training period and involves handling FINRA processes and carrier engagements. Responsibilities include managing appointments, renewals, and licenses, responding to licensing inquiries, and maintaining accurate records across registration systems.

Qualifications

• High School Diploma or GED required.
• 1 year of experience with MS Office tools.
• FINRA or Insurance Licensing (if applicable).

Responsibilities

• Manage/Process carrier appointments, renewals and invoices.
• Research and respond to carrier specific requests.
• Assist with inquiries to obtain insurance licensing/renewals including state specific compliance.
• Assist reps with continuing education questions and study material.
• Ensure paperwork is filed with State and Government Agencies in a timely manner.
• Maintain data for internal and external registration and disclosure systems (FINRA CRD).
• Lead from the front by improving procedures and workflows to boost efficiency.

Skills

Customer service

Communication

Organizational skills

Adaptability

Problem resolution

Multi-tasking

Team player

Independent work

Education

Bachelor’s degree

FINRA Series 99/6/7 license

Tools

MS Office

Job description

Cetera Financial Group Inc. in Dallas, TX is seeking an Introducing Senior Licensing & Registration Professional to support licensing, registrations, and regulatory compliance.

The role may be hybrid after a successful training period and involves handling FINRA processes and carrier engagements. Responsibilities include managing appointments, renewals, and licenses, responding to licensing inquiries, and maintaining accurate records across registration systems.