CAREER OPPORTUNITIES

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 – Future Opportunities

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