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Licensing and Registration Associate

Company: Cetera Financial Group
Location: Saint Cloud
Posted on: September 11, 2018

Job Description:


Position Title: Licensing and Registration Associate, Cetera Financial Group

What we need:

Cetera Financial Group is currently seeking a Licensing & Registration Associate for our company's office located in 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 insurance licensing process, regulatory questions and related issues, etc.

  • Maintain data for the internal and external registration and disclosure systems, including FINRA WebCRD, IARD, NFA and NMLS

  • 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 all licensing and appointments, including appointing agents and brokers
    What you need to have:


    • High School Diploma or GED

    • 1 years of experience working in the 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 Web CRD, FINRA Contact, and FINRA 4530 filing systems

      • 2 years of experience in Financial Services Industry

      • 2 years of experience delivering excellent problem resolution, organizational and follow-up skills
        Our top performers share the following traits:


        • Passion for delivering world class customer service

        • Strong analytical thinking and problem-solving skills

        • Ability to multi task

        • Personal integrity, responsiveness, professionalism and ambition; strong work ethic

        • Demonstrated experience communicating orally and in writing

        • Flexible and adaptable to change

        • Positive role model to colleagues; team player mentality
          What we give you in return:

          Our competitive Health program offers a comprehensive benefits package that supports healthy lifestyles, preventative care and helps to protect against hardship. Our retirement plan offers our employees the opportunity to plan ahead for a strong financial future well beyond their working years.

          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 the second-largest independent financial advisor network in the nation by number of advisors, as well as 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, First Allied Securities, Girard Securities, and Summit Brokerage Services.

          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.

          Keywords: Cetera Financial Group, Saint Cloud , Licensing and Registration Associate, Other , Saint Cloud, Minnesota

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