Senior Licensing & Registration Professional

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