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.

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: Manager, Sales Supervision

Type/status: Full time exempt

Primary Duties:

  • Principal review of approximately 45 registered representative’s day-to-day securities activities including, but not limited to, suitability review of brokerage accounts, advisory accounts, and direct business accounts such as annuities and alternative investments
  • Review securities trades and address/reconcile flagged trades for assigned group of representatives
  • Review written correspondence, electronic communications, social media, and advertising for assigned group of representatives (includes consolidated statements)
  • Supervise the Prospera-related activities of non-registered associated persons
  • Ensure that all principal review functions are completed by the end of each month (trade review, email review, correspondence review, etc.)
  • Supervise representatives who may be on heightened supervision
  • Supervise representatives who may have off-platform accounts
  • Follow up with representatives on issues identified by other associates, such as responses to the quarterly policy acknowledgments, audit findings, and surveillance inquiries
  • Document, manage, and escalate supervisory concerns through supervision or escalation cases
  • Onboard new representatives through the transition process
  • Facilitate registered representative training as needed
  • Ensure that various tasks assigned to the sales supervision team are conducted according to the firm’s policies and procedures and comply with rules set forth by FINRA, SEC, and state/other regulatory agencies
  • Understand all facets of the Written Supervisory Procedures manual and consult with the firm's compliance department on any issue where additional guidance is necessary to perform the supervisory functions
  • Maintain professional and technical knowledge by attending educational workshops, reviewing professional publications, establishing personal networks, and participating in professional societies
  • Maintain quality service by enforcing quality and customer service standards, analyzing and resolving quality and customer service problems, identifying trends, and recommending system improvements
  • Various other duties as necessary

Supervision: No direct reports

Education and Experience:

  • Undergraduate degree in business, accounting, finance, or related discipline
  • 5+ years broker dealer or investment advisor experience
  • 2 years in compliance or supervisory role a plus
  • Series 4 and 53 a plus, but not required
  • Life and insurance license a plus, but not required

Knowledge/Skills/Certifications:

  • Strong attention to detail and ability to identify regulatory issues or compliance concerns when supervising day-to-day activities of the registered representatives
  • Excellent problem-solving and follow-up skills
  • Excellent customer service skills
  • Ability to multi-task and work effectively in a fast-paced/high volume environment
  • Ability to make regulatory and supervisory-based decisions on a day-to-day basis and escalate issues and concerns to the sales supervision team lead
  • Knowledge of equities, mutual funds, annuities, alternative investments, and other securities products
  • Knowledge of broker dealer and investment advisor sales practice issues and best practices
  • Knowledge of FINRA, SEC, and state rules and regulations
  • Ability to communicate both verbally and in writing in a professional and effective way
  • Ability to use Microsoft Office (Word, Excel, PowerPoint) effectively

Licenses Required: Series 7, 66 (or 63 and 65), 24, 4 and 53 a plus but not required, 9 and 10 a plus but not required (these do not replace the need for a Series 24), life and health insurance license a plus but not required (prefer that this license be obtained within 180 days of hire)

Physical Requirements:

  • 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
APPLY NOW
Transitions Project Coordinator
The purpose of the Transition Project Coordinator is to help facilitate the onboarding of new advisors, providing best practices, project management, and services in accordance with our marketing message and regulatory requirements to fulfill our financial professionals’ and clients’ needs and expectations.

Job title: Transitions Project Coordinator

Reports to: Service Manager

Type/status: Full time non-exempt

Primary Duties:

  • Execute necessary workflow processes and procedures with the operations team and other departments as needed; determine process improvements as needed
  • Proactively communicate daily with the transitions team on operational procedures during transitions; provide resources as needed
  • Partner with the new advisor's office to coordinate and train on processes and procedures as they apply to transitions
  • Create training agendas for new sales assistants; provide resources as needed
  • Utilize COREngine/Salesforce to track and report on progress of the transition; AUM and ACAT status, new accounts opened
  • Partner with First Clearing transition team as needed
  • Provide back up support to transition manager
  • Provide a gold standard client experience to our internal and external clients through our Service Standards
  • Various other duties as necessary

Supervision: No direct reports

Education and Experience:

  • 3+ years of broad finance experience
  • Previous project management required

Knowledge/Skills/Certifications:

  • Strong project management skills, must be able 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
  • Excellent organizational skills and attention to detail; ability to multi-task
  • Customer service focused
  • Knowledge of financial services state and federal regulations
  • Ability to use Microsoft Office (Word, Excel, PowerPoint) effectively
  • Ability to travel

Licenses Required: Series 7 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
APPLY NOW
Products and Services Senior Specialist
The purpose of the Products and Services Senior Specialist is to retain long term quality financial professionals and clients for the company by providing training, information, and education about the platform, products and services the company provides.

Job title: Products and Services Senior Specialist

Reports to: Director of Practice Management, Business Development

Type/status: Full time exempt

Primary Duties:

  • Increase overall sales through proactive contact with advisors relating to sales ideas, marketing ideas, practice management, product placement, Advisory usage, services offered, outside product/vendor opportunities, idea exchanges
  • Communicate timely information regarding products, strategies, vendor news or any corporate message. Streamline communication with advisors
  • Be the company’s subject matter expert on the multiple investment platforms both at FCC and with Prospera’s proprietary programs
  • Manage the selling agreements with all products offered through Prospera
  • Own new product introduction creating advisor awareness through webinars, educational sessions and individual calls for all packaged products, advisory, insurance, fixed and variable annuities, alternative investments and other product types as appropriate
  • Field inbound inquiries and requests from advisors regarding products and services; meeting established service standard goals
  • Leverage product sponsors and marketing vendors to increase business
  • Assist in the new advisor transition support and processing
  • Facilitate training of internal staff on products available to advisors
  • Research new products and services and make recommendations for product and service offerings to the Prospera Investment and Product Review Committee
  • Manage the IMO relationships for Prospera’s fixed annuity platform
  • Coordinate efforts with external due diligence vendor regarding risk management for new product approvals
  • Facilitate the selection of Annual Conference vendor/presenter selections and agenda management
  • Coordinate Marketing Educator Program affiliate agreements including financial agreements, conference attendance and arrangements, Director’s Circle attendance and arrangements, Dine Around events at all conferences, announcements to advisors, coverage on the Prospera intranet and general questions
  • Manage data and reports

Supervision: No direct reports

Education and Experience:

  • College degree, 1 – 3 years’ experience in investment arena
  • CFP preferred

Knowledge/Skills/Certifications:

  • Prior investment platform experience preferred
  • Client focused
  • Sales oriented
  • Good organizational and project management skills
  • Strong time management skills
  • Ability to be strategic and creative

Licenses Required: 7, 63, Life and Variable preferred. If not licensed, able to obtain within 6 months of employment

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
APPLY NOW
Operations Specialist – For Future Positions
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 – For Future Positions

Reports to: Service 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, e-mail, 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, e-mail, fax, and occasionally in person
  • Accurate data entry for opening and processing new accounts
  • Process missing document requests (NIGO); follow up with advisor and sales assistant
  • 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, of 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: Series 99

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
APPLY NOW

Learn more about Prospera’s culture and work environment.

CAREERS AT PROSPERA