Licensing and Registration Professional

1 month ago


St Paul, United States Cetera Financial Group Full time

Cetera Financial Group is currently seeking a Licensing & Registration Associate for our company’s office located in Des Moines, Iowa, St. Cloud, Minnesota or St. Cloud, MN. This is a unique opportunity to be a part of a growing area in our firm and directly support our amazing representatives


What you will do:

  • 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
  • Process insurance licensing and appointments, including appointing agents and brokers


What you need to have:

  • High School Diploma or GED
  • 1+ years of experience in Financial Services Industry
  • 1+ years of experience with Microsoft Office programs


Really catch our eye with:

  • Bachelor’s degree
  • 1+ years of experience working with FINRA WebCRD or FINPRO
  • 2+ years of experience in Financial Services Industry
  • 2+ years of experience delivering excellent problem resolution, organizational and follow-up skills


#LI-HYBRID



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