Financial Services Operations Specialist

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.

The Staff Accountant will support the accounting and financial reporting functions of a dual‑registered broker‑dealer and registered investment adviser (RIA). This role is responsible for maintaining accurate financial records, supporting month‑end close, assisting with regulatory reporting, and ensuring compliance with GAAP and SEC/FINRA requirements. The ideal candidate has a strong accounting foundation, attention to detail, and interest in the financial services industry.

Staff Accountant

Chief Financial Officer

Full‑Time Exempt

• 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

No direct reports

• 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)

• 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

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

• Professional office environment
• Must be located in the Dallas corporate office

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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.

Advisor Experience Program Senior Specialist

Director, Advisor Services

Full-Time, Non-Exempt

• 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 (Corp Org), Relationship Manager check‑ins in advance of meeting, percentage of advisors contacted per quarter, quarterly report‑out on Surprise & Delight (S&D) program , and…