Senior Licensing & Compliance Specialist (FINRA/Regulatory)

Cetera Financial Group

Dallas (TX)

Hybrid

USD 60,000 - 90,000

Full time

12 days ago

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Job summary

Cetera Financial Group in Dallas, TX is seeking an Introducing Senior Licensing & Registration Professional to support operations and provide exceptional client service. The role offers potential hybrid work after a successful training period.

The position emphasizes processing carrier appointments, licensing renewals, and regulatory compliance, with opportunities to improve procedures and workflows. Strong communication and organizational skills are essential for success in a fast-paced

Qualifications

High School Diploma or GED.
At least 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 that the appropriate paperwork is filed in a timely manner with all State and Government Agencies.
Research and resolve complex issues related to FINRA registration process and regulatory questions.
Maintain data for internal and external registration and disclosure systems (FINRA CRD).
Lead process improvements to increase efficiencies.
Be the first point of contact for Licensing & Registration questions.
Respond to telephone inquiries, emails, Salesforce cases from internal and external customers.
Project work as necessary.
Other duties as assigned.