What are the responsibilities and job description for the Senior Licensing & Registration Professional position at Candidate Experience site?
Cetera is currently seeking an Introducing Senior Licensing & Registration Specialist for our licensing & registration team located in St. Cloud, MN or Des Moines, IA. 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:
- Ensure that the appropriate paperwork is filed in a timely manner with all State and Government Agencies
- Manage/Process reps carrier appointments, renewals and invoices
- Assist reps with continuing education questions and study material
- 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 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
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