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.
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.
The Surveillance Analyst is primarily responsible for performing principal review functions such as supervising the suitability of securities transactions and branch activities, conducting in-depth analytical reviews, visiting branch offices for training and audit purposes, and following up on branch responses and action plans to audit findings. The Surveillance Analyst assists the Compliance and Sales Supervision team with setting and 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.
Job Title: Surveillance Analyst
Reports to: Compliance Manager
Type/Status: Full time Exempt