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.
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
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
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
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
Learn more about Prospera’s culture and work environment.
CAREERS AT PROSPERA