CAREER OPPORTUNITIES

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
• Strong organizational skills
• Ability to multi-task
• Ability to use Microsoft Office (Word, Excel, PowerPoint) effectively
• Knowledge of SalesForce

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

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: IT Support Specialist – Future Opportunities

Reports to: IT Manager

Type/status: Full Time Non-Exempt

Primary Duties:

• Establish positive professional relationship with Home office staff and clients
• Respond in a timely manner to service issues and requests (this may be in person or over the phone)
• Provide technical support for: user workstation/printer/phone reported issues, software installation and configuration, system/application updates, and virus/malware malfunctions
• Coordinates technology and platform on-boarding for new on-site and off-site users
• Installation, setup, and troubleshooting of computer hardware, software, phones, networks, printers, and scanners
• Install, configure, and support Windows operating systems and applications
• Assist with user account creation, modification, and termination on Active Directory and other firm platforms
• Case logging and escalation
• Assist in maintaining technology documentation on applications, systems, and procedures
• Basic SmartStation Support: Coordinates installs for new users or new systems, troubleshoot basic configuration errors
• Various other duties as assigned

Supervision: No direct reports

Education and Experience:

• High school diploma or equivalent
• One year of technical support/helpdesk experience in a professional environment
• A+ required (can complete post-hire)

Knowledge/Skills/Certifications:

• Excellent organizational skills and attention to detail
• Ability to multi-task
• Customer-service focused: Gold Standard
• Ability to communicate both verbally and in writing in a professional and effective way
• Desktop support knowledge of business operating systems (Windows 10 and 11)
• Desktop application support experience with: Office 2016 & Microsoft 365, internet browsers (Internet Explorer, Edge, and Chrome)
• Working knowledge of email clients and mailbox type support
• Technical knowledge and hands on experience with desktop/laptop hardware
• The desire and ability to grow and improve technical skills on a daily basis

Physical Requirements:

• Ability to speak (English), hear and to operate business equipment such as computers, printers, etc.
• Ability to lift 50 pounds (computers, monitors, printers, servers)

Environmental Requirements:

• Professional Office Environment
• Must be located in the Dallas corporate office

Job title: Supervisory Principal Manager – Future Opportunities

Reports to: Chief Compliance Officer

Type/status: Full Time Exempt

Primary Duties:

• Maintains Gold Standard service by administering quality and customer service standards; analyzing and resolving quality and customer service opportunities; identifying trends; recommending system improvements
• Develop and implement strategies to enhance team performance and achieve departmental objectives
• Identify opportunities for process improvements and operational efficiencies
• Oversee the planning, execution, and monitoring of projects within the department
• Prepare and present regular reports on departmental performance, including key metrics and progress toward goals
• Communicate and manage the firm’s initiatives through the supervisory principals
• Administrate and monitor compliance with policies and procedures developed and implemented by the compliance department
• Fulfill the company’s directives regarding management systems, PDMs, and weekly meetings
• Review and supervise daily activity including daily trade blotters, transactions and monthly activity reports, heightened supervision plans, representative reviews, correspondence, email, social media, and websites
• Schedule periodic visits to our advisor offices
• Maintains professional and technical knowledge by attending educational workshops, reviewing professional publications, establishing personal networks, and participating in professional societies
• Provides a gold-standard experience to our internal and external clients through our corporate service standards
• Various other duties as necessary

Supervision: Direct Reports

Education and Experience:

• Bachelor’s degree in business (or related field) or equivalent work experience
• 8 years experience in financial services industry compliance
• 5 years experience in supervision

Knowledge/Skills/Certifications:

• Project management skills
• Ability to be strategic and creative
• Excellent organizational skills
• Customer service focused
• 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
• Strong attention to detail
• Ability to multi-task
• Ability to coach and develop employees effectively
• Ability to use Microsoft Office (Word, Excel, PowerPoint) effectively

Licenses Required: Series 7, 24, 63 (or 66), 65. Series 4 and Series 53 preferred, or willingness to obtain

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 (hybrid opportunity post-training)

Job title: Fixed Income Trader – Future Opportunities

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

Job title: Platform Solutions Specialist – Future Opportunities

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

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

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

Job title: Supervisory Principal

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

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