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.
Advisor Experience Program Senior Specialist
The purpose of the Advisor Experience Program Senior Specialist is to support relationship management tenets and the Director-Advisor Services by providing gold standard service via our Advisor Experience Program. The role will proactively coordinate all aspects of Advisor Experience Program offerings. The Advisor Experience Program anchors its focus in relationship management, cultivating and deepening relationships with Prospera advisors to retain quality financial professionals and clients, and to create advocates for the company.
Operations Specialist
Job title: Advisor Experience Program Senior Specialist
Reports to: Director, Advisor Services
Type/status: Full-Time, Non-Exempt
Primary Duties:
- Advisor Experience & Relationship Management Program Delivery
- Serves as Relationship Manager to assigned advisors
- Tracks advisor loyalty with Prospera touchpoints and offerings via engagement grid
- Manages Prospera Loyalty Program (tiles)
- Manages planning and scheduling for meetings, including but not limited to:
- Quarterly Relationship Management program and progress support
- Schedules quarterly Relationship Manager meeting
- Conducts quarterly check-ins with each Relationship Manager regarding their advisors
- Identifies any common/systemic themes or issues among Relationship Manager feedback from advisors
- Prepares support materials, including but not limited to: agendas, RM notes report (CorpOrg), Relationship Manager check-ins in advance of meeting, percentage of advisors contacted per quarter, quarterly report-out on Surprise & Delight (S&D) program , and advisor Net Promoter Score (NPS)
- Quarterly Strategic Planning meetings with key advisors
- Schedules Quarterly Strategic Planning meeting(s) with advisor(s)
- Prepares support materials, including but not limited to: agendas, follow-up on and updates to Strategic Planning Action Notes
- Event Coordination
- Supports annual Ambassador Alliance conference in conjunction with sponsor
- Manages invite list
- Coordinates key partners (e.g. Marketing event team on activity with Senior Leadership Team)
- Coordinates advisor communication
- Engagement Programs
- Coordinates Gift Programs (while adhering to annual budget) including, but not limited to:
- Surprise & Delight
- Life Events
- Thanksgiving cards
- Reporting & Insights
- Reviews advisor loyalty engagement grid for potential trends
- Systematically reviews Net Promoter Score scores monthly
- Manages Dashboards in coordination with IT team
- Cultivates and analyzes data to identify trends and alerts (e.g. detractors)
- Communication & Escalations
- Escalates detractors to Director of Advisor Services
- Assists with communication to RMs and Liaisons (and advisors as needed) on Surprise Audit(s)
- Provides a gold-standard experience to our advisors in every interaction
- Coordinates special projects and meetings – performs other duties as assigned
Supervision: No direct reports
Education and Experience:
- 2+ years of broad Financial Services experience in advisor-facing roles (experience in wealth management preferred)
- Previous project management required
Knowledge/Skills/Certifications:
- Demonstrated business acumen, judgment, discretion, and discernment
- Process-minded project management and execution
- Self-starter; must be systematic and follow procedures without prompting
- Keen attention to detail
- Ability to receive and accept constructive feedback and respond nimbly with can-do attitude
- Excellent organizational skills and attention to detail; ability to manage multiple competing priorities
- Customer-service mindset
- Ability 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
- Prioritize team-first attitude above individual preferences
- Knowledge of financial services’ state and federal regulations
- Ability to use Microsoft Office (Word, Excel, PowerPoint) effectively
- Ability to travel and/or work flexible hours
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
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: 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