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.

Fixed Income Trader
The purpose of the Fixed Income Trader is to support the trading opportunities of the Fixed Income Department and to provide service and support to our advisors and their clients on their fixed income needs.

Job title: Fixed Income Trader

Reports to: Fixed Income Manager

Type/status: Full Time Exempt

Primary Duties:

  • Field and refine advisor bond inquiries, seeking opportunities to align with where desk research sees value in the marketplace
  • Negotiate list price provided by offering dealer(s) to ensure best execution for the client and the firm
  • Leverage all trading relationships and electronic trading platforms to seek best bids for each internal bid wanted or account liquidation list
  • Timely and accurate trade review & execution, including BondCenter
  • Maintain Reg BI awareness and ensure that every trade is executed to the best interest of the client and aligned with firm trading philosophy
  • Document the prevailing market price (PMP) and publish to customer confirmations for all riskless principal trades
  • Ensure every trade is properly documented; once verified, noting the merit of the trade
  • Monitor daily P&L and report any inconsistencies to the Fixed Income Manager
  • Reconcile riskless principal inventory throughout day, ensuring zero balance maintained
  • Work with Operations and Trade Settlement Department to resolve any unmatched trades and trade discrepancies in a timely manner
  • Build relationships with the client to ensure practice-specific bond needs
  • Maintain and develop dealer relationships, including sourcing of bonds for inventory and to secure liquidity providers for clients
  • Develop & market curated customized bond proposals to financial professionals on-demand
  • Reconcile and publish Prospera’s proprietary bond inventory daily to our clients
  • Perform due diligence and assist with inventory development
  • Maintain accurate inventory balances intraday, support communication across advisor group
  • Monitor accounts with excess cash to re-invest and communicate to Fixed Income Manager
  • Develop proposals to create illustrations for managed account inquires to support new business opportunities
  • Support on-boarding routines for new account inceptions to managed programs
  • Enhance awareness of Internally Managed Strategies within the advisor group
  • Apply our client-focused, customer-first approach to every trade we review & execute
  • Clearly articulate the trading desk’s philosophy and unique credit evaluation process
  • Educate and train financial advisors on existing products and services, inclusive of taxable and tax-exempt credits, structured products, and firm-sponsored programs
  • Train financial professionals on best practices related to trading tools (ex. Bondcenter)
  • Educate advisors on how to create effective client-facing reports (ex. SmartStation)
  • Seek value added trade ideas and opportunities to share with the advisor group
  • Ensure compliance through continuing education on changes within industry regulations
  • Develop expertise in the back-office processes related to fixed income programs
  • Various other duties as requested

Supervision: No direct reports

Education and Experience:

  • College degree preferred
  • 2+ years trading experience, direct fixed income experience preferred

Knowledge/Skills/Certifications:

  • Excellent organizational skills and attention to detail; ability to multi-task
  • Excellent customer service
  • Ability to be strategic and creative
  • Ability to communicate both verbally and in writing in a professional and effective way
  • Excellent analytical skills
  • Intermediate to advanced ability to use technology including Microsoft Office (Word, Excel, PowerPoint) effectively
  • Ability to maintain confidentiality
  • Ability to work independently
  • Knowledge of trading tools such as Bloomberg, ICE TMC, preferred

Licenses Required: Series 7, 63, & 65 (66), or ability to become fully licensed within 6 months of employment

Physical Requirements:

  • Ability to speak, to hear, and to operate business equipment such as computers, printers, etc.

Environmental Requirements:

  • Ability to work in New Orleans, LA office
  • Ability to travel intermittently
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Platform Solutions Specialist
We are seeking a highly skilled and detail-oriented individual to join our team as a Platform Solutions Specialist. In this role, you will be responsible for providing comprehensive support to financial advisors to enhance operational efficiency and client service. The ideal candidate should possess strong financial planning knowledge, technical skills, and a passion for leveraging technology to optimize processes and deliver exceptional client experiences.

Job title: Platform Solutions Specialist

Reports to: Director of Platform Solutions

Primary Duties:

  • Collaborate with financial advisors to gather client data, assess financial goals, and assist with the creation of meaningful financial plans customized for each client
  • Support advisors with preparation of financial plans, presentations, and other materials for client meetings and reviews
  • Ensure compliance with regulatory guidelines and industry best practices
  • Develop and maintain working knowledge of multiple planning tools
  • Support financial planning vendor transitions, to include capturing client data from one system and rationalizing it within the new system
  • Identify opportunities to leverage technology tools (Black Diamond, etc.) and software to streamline processes and enhance operational efficiency
  • Assist in the evaluation and implementation of financial planning software, CRM systems, portfolio management platforms, and other technology solutions
  • Design and execute a consistent training program for advisors and team members on the effective use of platform tools
  • Stay up to date with industry trends and advancements in financial planning and other technologies to identify new opportunities for improvement
  • Create and consistently deliver to Director of Platform Solutions a report of activities, positive impact on business results, etc.
  • Participate in client meetings and discussions to provide technical expertise and support
  • Assist in preparing and delivering presentations to clients, explaining complex financial concepts and strategies in a clear and concise manner
  • Respond to client inquiries, troubleshoot technology-related issues, and provide prompt and accurate resolutions
  • Build and maintain strong relationships with advisors by delivering exceptional service and demonstrating a deep understanding of their financial needs
  • Develop subject matter expertise on the multiple tools available on the overall platform
  • Assist the team with communications of new additions to the platform designed to increase awareness and adoption where appropriate; this could include advisory programs, insurance products, or alternative products

Education and Experience:

  • Experience in the field is desriable, although not required, as this is an entry-level financial planning position with career development possibilities. Candidates must be enrolled or have completed a financial planning educational program leading to certification (i.e., CFP®, and/or CPA/PFS). For candidates without financial industry experience, other professional experience is preferred.
  • B.A. or B.S. degree, preferably in Financial Planning, Finance, Accounting, or Economics.

Knowledge/Skills/Certifications:

  • Prior investment industry experience preferred
  • Client-focused
  • Sales-oriented
  • Good organizational and project management skills
  • Strong time management skills
  • Ability to be strategic and creative
  • Strong analytical skills
  • Excellent written and verbal communication skills
  • Ability to identify, meet, and follow through with client needs and requirements with a keen attention to detail
  • Excellent project management skills with the ability to prioritize and track multiple tasks
  • Proficiency in Microsoft Office Suite
  • Knowledge of, or some experience with, the following would be considered a plus: eMoney, MoneyGuide Pro, Right Capital, Wealthcare GDX, Black Diamond, Salesforce, CAIS, Envestnet, Nitrogen Elite, and Zoom Meetings

Licenses Required: 7, 63, 65, 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, but open to conversations regarding remote work
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Compliance Associate – Future Opportunities
The purpose of the Compliance Associate is to support the retention of long-term quality financial professionals and clients by supporting and assisting the Compliance team and providing best practices and services in accordance with our marketing message and regulatory requirements to fulfill our financial professionals’ and clients’ needs and expectations. As a Compliance Associate, you will partner with the Compliance team, ensuring that our organization complies with all relevant regulations and laws. Your role will involve monitoring and assessing our compliance with internal policies and external regulations.

Job title: Compliance Associate – Future Opportunities

Reports to: Compliance Manager

Primary Duties:

  • Provides support and assistance to all Compliance and Supervisory Principal positions
  • Handles ad-hoc requests related to compliance matters
  • Supports the Anti-Money Laundering Compliance Officer with exception reporting, customer identification, and due diligence
  • Communicates internal policies and procedures, as well as external clearing firm policies and procedures, to representatives and informs management of potential violations
  • Demonstrates professional and courteous problem-solving and troubleshooting of inbound phone calls, voicemail, email, and occasional in-person inquiries from the company’s existing registered representatives, new representatives, staff, and occasionally customers regarding compliance issues
  • Works with Data team to support the data integrity of the firm
  • Ensures compliance with securities and insurance licensing regulations
  • Provides backup to Licensing and Registration Department
  • Cross-trains and assists team members as necessary; participates in cross trainings, continuing education, etc.
  • Participates in identifying potential changes to policy, process, and/or procedural changes and initiates change when applicable
  • Provide ideas for efficiencies
  • Responds to escalations in a timely fashion and participates in their resolutions
  • Provide assistance to team members ensuring daily work is completed
  • Willing to travel approximately 2-4 weeks per year for office inspections
  • Various other duties as necessary

Supervision: No direct reports

Education and Experience:

  • 3-5 years relevant business experience or college degree preferred
  • 1 year broad finance experience
  • Anti-money laundering compliance experience preferred

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 99 within 9 months (preferred) and Series 7 within 1 year

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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Launch Specialist – Future Opportunities
The purpose of the Launch Specialist 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: Launch Specialist – Future Opportunities

Primary Duties:

  • Create and 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 an procedures as they apply to transitions
  • Coordinate with Operations to create training agendas for new Sales Assistants; provide resources as needed
  • Manage weekly W9 report and communicate to transitioning advisors
  • Utilize COREngine/Salesforce to track and report on progress of the launch; AUM and ACAT status, new accounts opened
  • Responsible for managing launch cases, escalating as needed to Launch Manager
  • Direct transition team with assignments and responsible for outcome of launch tasks and assignments
  • Partner with First Clearing transition team as needed
  • Provide back-up support to Launch Manager
  • Provides a gold-standard experience to our internal and external clients through our corporate 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 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
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Supervisory Principal – Future Opportunities
The Supervisory Principal 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 Supervisory Principal 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: Supervisory Principal – Future Opportunities

Primary Duties:

  • Responsible for principal review of approximately 45 registered representatives' 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)
  • Responsible for supervising the Prospera-related activities of non-registered associated persons
  • Ensure that all principal review functions are completed in a timely manner (trade review, email review, correspondence review, etc.)
  • Responsible for supervising representatives who may be on heightened supervision
  • Responsible for supervising representatives who may have off-platform accounts
  • Responsible for following 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
  • Onboarding 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
  • Provide a gold-standard experience to our internal and external clients through our corporate service standards
  • 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 Health 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
  • Abililty 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 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, Series 66 (or 63 and 65), Series 24, Series 4 and 53 a plus, but not required, Series 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:

  • Ability to speak, to hear and to operate business equipment such as computers, printers, etc.

Environmental Requirements:

  • Professional office environment
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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
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Learn more about Prospera’s culture and work environment.

CAREERS AT PROSPERA