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.

Business Development Coordinator
The purpose of Business Development Coordinator is to support the growth of the firm through the addition of new advisors. The Business Development Coordinator is integral in the recruiting strategy, responsible for cultivating new leads, supporting the recruiting process, and managing new business development marketing.

Job title: Business Development Coordinator

Reports to: Director of Marketing & Business Development

Type/status: Full-time, exempt

Primary Duties:

  • Contribute to and support recruiting strategy by: building recruiting pipeline by deepening external recruiter relationships, re-engage with existing data and stale leads in Salesforce, be familiar with industry trends – compile and maintain competitive analysis, researching industry events for awareness and presence, implementing Business Development marketing (in partnership with marketing team)
  • Primary ownership of social media (LinkedIn, Twitter, Facebook, and Instagram), email (Act-On), and print mail campaigns – broad and targeted (firms, niche, e.g. women advisors)
  • If/then campaigns (manage prospect engagement/website traffic and Prospera follow-up)
  • Publish Timely & Timeless Blogs
  • Refresh website – updated messaging, videos, graphics
  • Manage and execute quarterly touch and feel campaign
  • Produce and maintain acquisition letters
  • Maintain knowledge of market trends and products
  • Integral in HOV process: preparation and coordination of in support of the prospect experience, including coordination and execution of HOV administration details (prospect travel, conference room reservation, set-up, F&B orders) and marketing aspects (e.g. customize business development presentations for HOVs, gifts with notecard)
  • Maintain Salesforce data – produce accurate weekly Salesforce business development reports to evaluate recruiting metrics
  • Develop and maintain relationships with internal partners
  • Provide a gold-standard experience to our internal and external clients through our corporate service standards
  • Various other duties as assigned

Supervision: N/A

Education and Experience:

  • 4-year college degree
  • Financial services experience and/or familiarity with the financial services industry
  • Advisor recruiting or general sales experience (preferred)
  • Marketing experience (preferred)

Knowledge/Skills/Certifications:

  • Project Management skills
  • Relationship-building skills
  • Ability to engage and influence
  • Financial services industry knowledge, specifically wealth management/brokerage
  • Excellent professional written and verbal communication skills
  • Ability to manage multiple projects and priorities simultaneously

Licenses Required: SIE required (or ability to obtain within 3 months); 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
  • Open to remote with frequent, short-notice travel to Dallas corporate office
  • Must be onsite in Dallas for HOV visits – and as requested to closely align with Director of Marketing & Business Development’s calendar
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Compliance Director
The purpose of the Compliance Director is to ensure employees and clients are in compliance 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.

Job title: Compliance Director

Reports to: Chief Compliance Officer

Type/status: Exempt

Primary Duties:

  • Ensures corporate policies are accurate, current and in compliance with federal and state regulations. Reviews and updates policies as laws change
  • Interprets and disseminates information on regulatory matters
  • Responsible for internal and external supervision and regulatory programs
  • Protects the firm and its client by establishing compliance standards; anticipating emerging compliance trends; designing improvements to internal control structure
  • Maintains strong regulatory knowledge of subject matter, products and services, and business processes relevant to their function and area of coverage
  • Understands the Firm’s business and identifies opportunities for improvements and for Compliance to make positive contributions
  • Participates in the development of strategic goals for their function and develops and executes accordingly
  • Collaborates with other departments (e.g., Information Technology, Accounting, Marketing, etc.) to direct compliance issues to appropriate existing channels for investigation and resolution. Consults with the Corporate attorney as needed to resolve difficult legal compliance issues
  • Monitors, and as necessary, coordinates compliance activities of other departments to remain abreast of the status of all compliance activities and to identify trends
  • Identifies potential areas of compliance vulnerability and risk; develops/implements corrective action plans for resolution of problematic issues and provides general guidance on how to avoid or deal with similar situations in the future

Supervision: Direct reports

Education and Experience:

  • Minimum of 10 of experience in control-related function in the financial services industry
  • Significant experience in compliance and risk management
  • Bachelor’s degree required

Knowledge/Skills/Certifications:

  • Project Management skills
  • Ability to be strategic and creative
  • Good organizational skills and strong attention to detail
  • In-depth 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
  • Knowledge of Salesforce
  • Works independently using sound judgment with little day to day supervision on complex projects
  • Effectively collaborates on projects and initiatives and builds relationships within the compliance departments as well as with business partners
  • Skilled presenter with the ability to speak on multiple topics
  • Ability to discern relative risks to firm when analyzing potential business solutions
  • Ability to understand how legal policy decisions in connection with business unit projects and initiatives may affect other business units across the company, and reconciles these situations by collaborating with appropriate parties

Licenses Required: Series 7, 24, 66, 4 and/or 53 preferred; Options Principal - Optional, Muni Principal – Optional

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
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Learn more about Prospera’s culture and work environment.

CAREERS AT PROSPERA