Senior Licensing & Registration Professional

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 is currently seeking an Introducing Senior Licensing & Registration Professional for our team located in Dallas, TX. This is a unique opportunity to join our team in providing operational support and world-class customer service to our clients. There is potential for this to be a hybrid role based on a successful training period.

Core Responsibilities:

• Manage/Process carrier appointments, renewals and invoices
• Process insurance affiliations/terminations as applicable
• 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 unique situations and complex errors associated with the FINRA registration process, regulatory questions and related issues, etc.
• Maintain data for the internal and external registration and disclosure systems, including FINRA CRD
• Lead from the front by contributing to the development and improvement of procedure, processes, and workflow to increase efficiencies
• Be the first point of contact for our Representatives’ Licensing & Registration questions
• Respond to telephone inquiries, emails, Salesforce cases from internal and external customers
• Project work as necessary
• Other duties as assigned

Required Knowledge, Skills, and Abilities:

• Customer service skills
• Flexible and adaptable to change
• Strong communication and organizational skills
• Positive role model to colleagues
• Highly responsive to coaching and training
• Independent; able to work and resolve complex issues with minimal guidance
• Ability to learn quickly and multi-task effectively in a fast-paced environment
• Team player attitude
• Energetic and results-oriented

Desired Knowledge, Skills, and Abilities:

• Previous experience in the financial industry
• Bachelor’s degree
• Series 99, 6 or 7 licensed
• Demonstrated experience delivering excellent problem resolution, organizational and follow-up skills
• Ability to multi-task while staying on track with regulatory deadlines, field inquiries, and internal assignments.

Minimum Required Education & Experience:

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

Travel Requirements:

No Travel Required