CAREER OPPORTUNITIES

Job title: Staff Accountant

Reports to: Chief Financial Officer

Type/status: Full-Time Exempt

Primary Duties:

• Prepare and record journal entries; reconcile general ledger accounts
• Assist with monthly, quarterly, and annual close processes
• Prepare balance sheet and income statement reconciliations
• Support regulatory filings and reports (e.g., FINRA FOCUS Reports, Net Capital calculations, ADV support)
• Assist with revenue recognition, expense accruals, and prepaid expense tracking
• Reconcile cash, clearing accounts, and custodian statements
• Support accounts payable and regulatory filings
• Assist with audit, regulatory exams, and requests from external auditors and regulators
• Maintain accounting documentation, policies, and internal controls
• Participate in process improvements and automation initiatives

Supervision: No direct reports

Education and Experience:

• Bachelor’s degree in Accounting or Finance
• 1–3 years of accounting experience (public accounting or financial services preferred)
• Working knowledge of U.S. GAAP
• Strong Excel skills (pivot tables, lookups, reconciliations)
• High attention to detail and strong organizational skills
• Experience in broker dealer, RIA, investment management, or financial services environment (preferred)
• Familiarity with SEC and FINRA reporting requirements (preferred)
• Experience with general ledger systems (e.g., Sage) (preferred)

Knowledge/Skills/Certifications:

• Analytical and problem solving skills
• Ability to meet deadlines in a regulated environment
• Strong written and verbal communication skills
• Professional judgment and discretion with confidential information
• Ability to work independently and collaboratively

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

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

Job title: Advisory Services Specialist

Reports to: Advisory Services Manager

Type/status: Full Time Non-Exempt

Primary Duties:

• Responsible for day-to-day duties of advisory/trade desk
• Accountable for understanding all advisory products, process and procedures and client suitability
• Process advisory paperwork
• Assist in resolving issues with coding of accounts
• Process trades for Prospera model advisory programs including inceptions, rebalancing, withdrawals, and contributions of accounts through existing platforms
• Liaison with clients, Prospera back office and First Clearing (Wells Fargo Clearing Services)
• Provide support to internal and external customers; resolve issues
• Manage any risk associated with advisory business
• Resolve trade errors in a timely manner
• Broker-dealer securities trading
• Provide a five-star client 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; 3-5 years of experience in lieu of college degree
• Three years of broad finance experience

Knowledge/Skills/Certifications:

• Project management skills
• Ability to be strategic and creative
• Good organizational skills and strong attention to detail
• Customer-focused service
• In-depth knowledge of financial services' state and federal regulations
• Ability to communicate both verbally and in writing in a professional and effective manner
• Excellent analytical skills
• Excellent organizational skills and attention to detail; ability to multi-task
• Ability to multi-task
• Ability to use Microsoft Office (Word, Excel, PowerPoint) effectively
• Knowledge of SalesForce

Licenses Required: Series 7, Series 63, and 65 (or 66)

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

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