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