Career Opportunities

Working at Prospera

Success Your Way.™—it’s the foundation of how we support financial advisors and is what drives us every day to achieve the gold standard for a boutique independent broker dealer firm. As a four-time winner of the coveted Broker-Dealer of the Year Award, Prospera Financial is large enough to provide access to industry-leading resources, yet still small enough to build deep relationships at every level.

Since our founding by financial advisors in 1982, Prospera has maintained a unique perspective on serving the needs of advisors with independence, flexibility and support. We are consistently recognized as a Top 10 player in home-office-to-staff ratio, retention rate and average production per rep. As a member of our team, you’ll be an important part of providing the hands-on expertise and attention of our service-driven culture, making a genuine impact on the firm and in the lives of our financial professionals.

Current Openings

Prospera Financial Services is a support organization for successful “independent” Financial Professionals, and a full-service broker/dealer, offering a variety of investments to the general public. Through our independent Financial Professionals, we provide our clients with a superior menu of investment choices, leading-edge technology, indispensable financial tools, expert investment planning and advice, and personalized service.

Operations Specialist

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

Reports to: Service Manager

Type/status: Full time Non-exempt

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Sales Supervisor

The Sales Supervisor 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 Sales Supervisor 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: Sales Supervisor

Reports to: Sales Supervision Team Lead

Type/status: Full time exempt

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Director of Compliance

Reporting to the Chief Compliance Officer, the purpose of the Director of Compliance is to ensure employees and clients comply with the rules and regulations of regulatory agencies, that company policies and procedures are being followed, and that behavior in the organization meets the company’s Standards of Conduct.

Prospera Financial Services is a support organization for successful “independent” Financial Professionals, and a full-service broker/dealer, offering a variety of investments to the general public. Through our independent Financial Professionals, we provide our clients with a superior menu of investment choices, leading-edge technology, indispensable financial tools, expert investment planning and advice, and personalized service.

Job Title: Director of Compliance

Reports to: Chief Compliance Officer

Type/Status: Full time Exempt

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