Senior Licensing & Registration Professional

Introducing 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 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