Senior Licensing & Registration Professional

Cetera Financial Group; Dallas (TX); Hybrid; USD 60,000 - 90,000; Full time

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.

Skills

Customer service

Communication skills

Organizational skills

Independent problem solving

Multi-tasking

Team player

Education

Bachelor's degree

Tools

MS Office

Job description

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.

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