Senior Licensing & Registration Professional

Job Description

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 :

Desired Knowledge, Skills, and Abilities :

Minimum Required Education & Experience :

Travel Requirements : No Travel Required

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About Us

What we give you in return :

Not many teams can say that they support people's dreams coming to life... We happen to do that every day. And as important as we know your career is, we recognize that there's a whole lot more to life. To ensure that our Employees can make the most of their time outside of working hours, we offer a competitive salary and for full-time roles, a benefits package including :

About Cetera Financial Group :

Cetera Financial Group® ("Cetera") is a leading network of independent retail broker-dealers empowering the delivery of objective financial advice to individuals, families and company retirement plans across the country through trusted financial advisors and financial institutions. Cetera is an independent financial advisor network and a leading provider of retail services to the investment programs of banks and credit unions.

Through its multiple distinct firms, Cetera offers independent and institutions-based advisors the benefits of a large, established broker-dealer and registered investment adviser, while serving advisors and institutions in a way that is customized to their needs and aspirations. Advisor support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support and innovative technology.

Cetera Financial Group" refers to the network of retail independent broker-dealers encompassing, among others, Cetera Advisors, Cetera Advisor Networks, Cetera Financial Institutions, Cetera Financial Specialists, and First Allied Securities.

Cetera Financial Group is committed to providing an equal employment opportunity for all applicants and employees. For us, this is the only acceptable way to do business. Accordingly, all employment decisions at the Cetera Financial Group, including those relating to hiring, promotion, transfers, benefits, compensation, and placement, will be made without regard to race, color, ancestry, national origin, citizenship, age, physical and / or mental disability, medical condition, pregnancy, genetic characteristics, religion, religious dress and / or grooming, gender, gender identity, gender expression, sexual orientation, marital status, U.S. military status, political affiliation, or any other class protected by state and / or federal law.

Agencies please note : this recruitment assignment is being managed directly by Cetera's Talent Acquisition team. We will reach out to our preferred agency partners in the rare instance we require additional talent options. Your respect for this process is appreciated.

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