Cetera Financial Group · 1 day ago
Senior Licensing & Registration Professional
St Cloud, MN
Full-time
Hybrid
Mid, Senior Level
$18.75/hr - $25.95/hr
1+ years expCetera Financial Group is a leading network of independent retail broker-dealers empowering the delivery of objective financial advice. They are seeking a Senior Licensing & Registration Professional to provide operational support and customer service, ensuring timely filing of paperwork and assisting representatives with licensing and registration inquiries.
AdviceFinancial ServicesRetailRetirementWealth Management
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
Qualification
Required
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
High School Diploma or GED
1 years of experience with MS Office tools
1 years of applicable experience
FINRA or Insurance Licensing (if applicable)
Preferred
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
Benefits
Inclusive health, dental, vision and life insurance plans built to support diverse lifestyles, offer preventative care, and protect against hardship.
Easy access to mental health benefits to meet our team members and their families where they are.
20+ days of paid time off (PTO), paid holidays, and 2 paid wellness days to give our employees the time they need to stay close with their loved ones, recharge, and give back to their communities.
401(k) Savings plan with a generous company contribution (up to 5%), and access to a financial professional to offer our employees the opportunity to plan-ahead for a strong financial future well beyond their working years.
Paid parental leave to support all team members with birth, adoption, and foster.
Health Savings and Flexible Spending Account options to help you save money on healthcare, daycare, commuting, and more.
Employee Assistance Program (EAP), LifeLock, Pet Insurance and more.
Company
Cetera Financial Group
Cetera Financial Group is a privately-held, independent broker-dealer and investment adviser families.
1001-5000 employees
H1B Sponsorship
Cetera Financial Group has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (7)
2024 (3)
2023 (5)
2022 (2)
2021 (2)
Funding
Current Stage
Late StageTotal Funding
unknownKey Investors
Genstar Capital
2023-10-04Private Equity
2018-07-17Acquired
Leadership Team
Michael Durbin
Chief Executive Officer
Tom Gooley
Chief Operating Officer
Recent News
2026-01-07
2026-01-07
2025-12-27
Company data provided by crunchbase