CAREER OPPORTUNITIES

Current Openings

At Prospera, our financial professionals are the most important resource in our service commitment to our clients. If you share our passion and value a supportive, collegial atmosphere, we encourage you to consider joining our team. It could be the next step in defining success, your way.

Compliance Associate – Future Opportunities
The purpose of the Compliance Associate is to support the retention of long-term quality financial professionals and clients by supporting and assisting the Compliance team and providing best practices and services in accordance with our marketing message and regulatory requirements to fulfill our financial professionals’ and clients’ needs and expectations. As a Compliance Associate, you will partner with the Compliance team, ensuring that our organization complies with all relevant regulations and laws. Your role will involve monitoring and assessing our compliance with internal policies and external regulations.

Job title: Compliance Associate – Future Opportunities

Reports to: Compliance Manager

Primary Duties:

  • Provides support and assistance to all Compliance and Supervisory Principal positions
  • Handles ad-hoc requests related to compliance matters
  • Supports the Anti-Money Laundering Compliance Officer with exception reporting, customer identification, and due diligence
  • Communicates internal policies and procedures, as well as external clearing firm policies and procedures, to representatives and informs management of potential violations
  • Demonstrates professional and courteous problem-solving and troubleshooting of inbound phone calls, voicemail, email, and occasional in-person inquiries from the company’s existing registered representatives, new representatives, staff, and occasionally customers regarding compliance issues
  • Works with Data team to support the data integrity of the firm
  • Ensures compliance with securities and insurance licensing regulations
  • Provides backup to Licensing and Registration Department
  • Cross-trains and assists team members as necessary; participates in cross trainings, continuing education, etc.
  • Participates in identifying potential changes to policy, process, and/or procedural changes and initiates change when applicable
  • Provide ideas for efficiencies
  • Responds to escalations in a timely fashion and participates in their resolutions
  • Provide assistance to team members ensuring daily work is completed
  • Willing to travel approximately 2-4 weeks per year for office inspections
  • Various other duties as necessary

Supervision: No direct reports

Education and Experience:

  • 3-5 years relevant business experience or college degree preferred
  • 1 year broad finance experience
  • Anti-money laundering compliance experience preferred

Knowledge/Skills/Certifications:

  • Good organizational skills and strong attention to detail
  • Customer service focused
  • Knowledge of financial services' state and federal regulations
  • Ability to communicate both verbally and in writing in a professional and effective way
  • Excellent analytical skills
  • Excellent organizational skills and attention to detail; ability to multi-task
  • Ability to use Microsoft Office (Word, Excel, PowerPoint) effectively

Licenses Required: SIE/Series 99 within 9 months (preferred) and Series 7 within 1 year

Physical Requirements:

  • Ability to speak, to hear, and to operate business equipment such as computers, printers, etc.

Environmental Requirements:

  • Professional office environment
  • Must be located in the Dallas corporate office
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Launch Specialist – Future Opportunities
The purpose of the Launch Specialist is to help facilitate the onboarding of new advisors, providing best practices, project management, and services in accordance with our marketing message and regulatory requirements to fulfill our financial professionals' and clients' needs and expectations.

Job title: Launch Specialist – Future Opportunities

Primary Duties:

  • Create and execute necessary workflow processes and procedures with the Operations team and other departments as needed; determine process improvements as needed
  • Proactively communicate daily with the transitions team on operational procedures during transitions; provide resources as needed
  • Partner with the new advisor's office to coordinate and train on processes an procedures as they apply to transitions
  • Coordinate with Operations to create training agendas for new Sales Assistants; provide resources as needed
  • Manage weekly W9 report and communicate to transitioning advisors
  • Utilize COREngine/Salesforce to track and report on progress of the launch; AUM and ACAT status, new accounts opened
  • Responsible for managing launch cases, escalating as needed to Launch Manager
  • Direct transition team with assignments and responsible for outcome of launch tasks and assignments
  • Partner with First Clearing transition team as needed
  • Provide back-up support to Launch Manager
  • Provides a gold-standard experience to our internal and external clients through our corporate service standards
  • Various other duties as necessary

Supervision: No direct reports

Education and Experience:

  • 3+ years of broad finance experience
  • Previous project management required

Knowledge/Skills/Certifications:

  • Strong project management skills, must be able to work independently
  • Proactive in anticipating the needs of our clients
  • Ability to communicate both verbally and in writing in a professional and effective way
  • Excellent analytical skills
  • Excellent organizational skills and attention to detail; ability to multi-task
  • Customer service focused
  • Knowledge of financial services' state and federal regulations
  • Ability to use Microsoft Office (Word, Excel, PowerPoint) effectively
  • Ability to travel

Licenses Required: Series 7 preferred, but not required

Physical Requirements:

  • Ability to speak, to hear and to operate business equipment such as computers, printers, etc.

Environmental Requirements:

  • Professional office environment
  • Must be located in the Dallas corporate office
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Supervisory Principal
The Supervisory Principal is responsible for enforcing the Firm's policies and procedures to ensure compliance with state and federal regulations and rules set forth by state and federal regulatory agencies. The Supervisory Principal is primarily responsible for supervising the suitability of securities transactions and performing principal review functions for an assigned group of representatives, including representatives who may be on heightened supervision and representatives who may have off-platform accounts.

Job title: Supervisory Principal

Primary Duties:

  • Responsible for principal review of approximately 45 registered representatives' day-to-day securities activities including, but not limited to, suitability review of brokerage accounts, advisory accounts, and direct business accounts such as annuities and alternative investments
  • Review securities trades and address/reconcile flagged trades for assigned group of representatives
  • Review written correspondence, electronic communications, social media, and advertising for assigned group of representatives (includes consolidated statements)
  • Responsible for supervising the Prospera-related activities of non-registered associated persons
  • Ensure that all principal review functions are completed in a timely manner (trade review, email review, correspondence review, etc.)
  • Responsible for supervising representatives who may be on heightened supervision
  • Responsible for supervising representatives who may have off-platform accounts
  • Responsible for following up with representatives on issues identified by other associates such as responses to the quarterly policy acknowledgments, audit findings, and surveillance inquiries
  • Document, manage, and escalate supervisory concerns through supervision or escalation cases
  • Onboarding new representatives through the transition process
  • Facilitate registered representative training as needed
  • Ensure that various tasks assigned to the Sales Supervision team are conducted according to the Firm’s policies and procedures and comply with rules set forth by FINRA, SEC, and state/other regulatory agencies
  • Understand all facets of the Written Supervisory Procedures manual and consult with the firm's Compliance department on any issue where additional guidance is necessary to perform the supervisory functions
  • Maintain professional and technical knowledge by attending educational workshops, reviewing professional publications, establishing personal networks, and participating in professional societies
  • Maintain quality service by enforcing quality and customer service standards, analyzing and resolving quality and customer service problems, identifying trends, and recommending system improvements
  • Provide a gold-standard experience to our internal and external clients through our corporate service standards
  • Various other duties as necessary

Supervision: No direct reports

Education and Experience:

  • Undergraduate degree in Business, Accounting, Finance, or related discipline
  • 5+ years broker dealer or investment advisor experience
  • 2 years in compliance or supervisory role a plus
  • Series 4 and 53 a plus, but not required
  • Life and Health insurance license a plus, but not required

Knowledge/Skills/Certifications:

  • Strong attention to detail and ability to identify regulatory issues or compliance concerns when supervising day-to-day activities of the registered representatives
  • Excellent problem-solving and follow-up skills
  • Excellent customer service skills
  • Ability to multi-task and work effectively in a fast-paced/high volume environment
  • Abililty to make regulatory and supervisory-based decisions on a day-to-day basis and escalate issues and concerns to the Sales Supervision Team Lead
  • Knowledge of equities, mutual funds, annuities, alternative investments, and other securities products
  • Knowledge of broker dealer and investment advisor sales practice issues and practices
  • Knowledge of FINRA, SEC, and state rules and regulations
  • Ability to communicate both verbally and in writing in a professional and effective way
  • Ability to use Microsoft Office (Word, Excel, Powerpoint) effectively

Licenses Required: Series 7, Series 66 (or 63 and 65), Series 24, Series 4 and 53 a plus, but not required, Series 9 and 10 a plus, but not required (these do not replace the need for a Series 24), Life and Health insurance license a plus, but not required (prefer that this license be obtained within 180 days of hire)

Physical Requirements:

  • Ability to speak, to hear and to operate business equipment such as computers, printers, etc.

Environmental Requirements:

  • Professional office environment
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Operations Specialist – Future Opportunities
The purpose of the Operations Specialist-General is to support the retention of long-term quality financial professionals and clients by supporting and assisting all Operations Specialists, providing best practices and services in accordance with our marketing message and regulatory requirements to fulfill our financial professionals’ and clients’ needs and expectations. The Operations Specialist is responsible for properly handling document submissions from our advisors, end clients, and employees. Attention to detail, decision-making, and communication are key aspects that will enable accurate and efficient processing while providing excellent customer service to our advisors. Each person must be able to work in a fast-paced environment that is driven by seasonal volume and daily processing deadlines.

Job title: Operations Specialist – Future Opportunities

Reports to: Operations Manager

Type/status: Full Time / Non-Exempt

Primary Duties:

  • Provide support and assistance to all Operations Specialist positions
  • Communicates internal policies and procedures, as well as external clearing firm policies and procedures to representatives and informs management of potential violations
  • Professional and courteous problem solving and trouble-shooting of inbound phone, voice mail, email and occasionally in-person inquiries from the company’s existing registered representatives, new representatives, staff and occasionally customers regarding operational issues
  • Communicates outbound with various parties via phone, email, fax, and occasionally in person
  • Accurate data entry for opening and processing new accounts
  • Process missing document requests (NIGO); follow up with Advisor and Service Associate
  • Timely initiating of account transfers and consistent transfer follow up, following up on account transfers and rejects in a timely fashion
  • Cross-train and assist other team members as necessary; participate in cross trainings, continuing education, etc.
  • Assist with identifying and implementing new processes or procedural improvements
  • Be aware of any policy and/or procedure changes and participate in initiating change when applicable. Provide ideas for efficiencies
  • Respond to escalations in a timely fashion with resolution
  • Provide a team player environment by assisting other team members to ensure all daily work is completed
  • Provide high-quality processing cycle times with low NIGOs
  • Provide a gold standard experience to our internal and external clients through our Service Standards
  • Various other duties as necessary

Supervision: No direct reports

Education and Experience:

  • College degree preferred, or 3-5 years relevant business experience
  • 3 years of broad finance experience

Knowledge/Skills/Certifications:

  • Good organizational skills and strong attention to detail
  • Customer service focused
  • Knowledge of financial services' state and federal regulations
  • Ability to communicate both verbally and in writing in a professional and effective way
  • Excellent analytical skills
  • Excellent organizational skills and attention to detail; ability to multi-task
  • Ability to use Microsoft Office (Word, Excel, PowerPoint) effectively

Licenses Required: SIE, Series 7

Physical Requirements:

  • Ability to speak, to hear and to operate business equipment such as computers, printers, etc.

Environmental Requirements:

  • Professional office environment
  • Must be located in the Dallas corporate office
APPLY NOW

Learn more about Prospera’s culture and work environment.

CAREERS AT PROSPERA