Senior Licensing & Registration Professional

Cetera is currently seeking an Introducing Senior Licensing & Registration Professional for our team located in 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

The salary range for this role is $18.75 - $25.95, plus competitive performance-based bonus. Compensation packages are based on a wide array of factors unique to each candidate, including but not limited to skill set, years and depth of experience, certifications, and specific office location. Compensation ranges may differ in differing locations due to cost of labor considerations.

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