HOURS WILL VARY!

Prosperity Bank is seeking to fill the position of Brokerage Compliance Officer in the Austin area.

POSITION PURPOSE

Ensures all representatives are compliant with applicable state and federal securities and insurance laws with regards to sales, trading and marketing. The Officer will serve as the principal authorized to enforce the firm’s written supervisory procedures.  

ESSENTIAL FUNCTIONS AND BASIC DUTIES

1. Review and approve new account applications, incoming and outgoing correspondence, check received blotters, direct account transactions, networked transactions and general securities in brokerage accounts, and sales presentations and literature, as necessary.
2. Assist in and/or conduct branch office inspections, annual compliance interviews, monthly reviews of registered representatives sales activities, annual registration and licensing verification of all registered persons, and track licensing and continuing education requires of all registered persons.
3. Oversee customer compliant resolutions, including those with TPM and or TPP.
4. Maintain required OSJ records.
5. Perform other duties, work overtime, and attend classes or seminars as requested by supervisor.
6. Maintain department confidentiality.

Prosperity Bank is committed to providing our customers a personalized service experience, we're looking for people who are passionate about satisfying customers, will not settle for the average, embrace creativity and operate with a sense of purpose. If this is you, then we are looking forward to meeting you and are excited that you are interested in joining Prosperity Bank - where we are Simply Better!

Come join our team and explore the endless possibilities that a career in banking can provide!

A pre-employment credit check will be performed on all qualified applicants.

Prosperity Bank is an Equal Employment Opportunity and Affirmative Action employer, and Member FDIC.

Required Skills

Possess good spelling, grammar, and punctuation skills.

Must be proficient with Excel, Word and Power Point- experience with all required.

Good organizational skills and able to prioritize duties.

Ability to deal courteously and tactfully with customers and bank personnel.

Required Experience

Bachelor’s Degree or brokerage compliance experience.

FINRA Series 7, 24 and 63 or 9/10 registration required. State insurance license a plus.

(Clean Regulatory/Compliance History) *** Required***

Diversified experience in sales management, strategic planning and business development.

Possess good spelling, grammar, and punctuation skills.

Must be proficient with Excel, Word and Power Point- experience with all required.

Good organizational skills and able to prioritize duties.

Ability to deal courteously and tactfully with customers and bank personnel.