Compliance Specialist

Hantz Group; Southfield (MI); On-site; USD 65,000 - 90,000; Full time

Benefits offered by this job

Health/Dental/Vision Insurance

Paid Time Off

401K

Vol LTD

Vol Life

Flexible Spending

Job summary

Hantz Group, a Michigan-based financial services firm, is seeking a Compliance Specialist to research, analyze, and resolve securities-related issues. The role involves audits, regulatory responses, and documenting procedures to strengthen supervision.

The ideal candidate holds a Bachelor’s degree or equivalent, demonstrates strong organizational and communication skills, and can obtain required FINRA/Securities licenses within a year. The position offers comprehensive benefits and stability.

Qualifications

• Bachelor’s degree or equivalent experience.
• Ability to prioritize workload and meet deadlines in a fast-paced environment.
• Clear verbal and written communication of complex compliance rules.
• Attention to detail with high degree of independence.
• Ability to obtain required licenses within one year; FINRA SIE, Series 7, 66, 24 and state licenses.
• Proficiency in MS Word, Excel, and PowerPoint.

Responsibilities

• Research, analyze, and resolve securities-related issues.
• Ensure timely, accurate written responses with references to rules.
• Conduct periodic branch audits per firm standards.
• Identify improvement areas and communicate to SVPs and site leaders.
• Track and report customer complaint data and resolutions.
• Assist with investigations of supervisory procedures and marketing literature.
• Assist with regulatory inquiries and drafting responses.
• Review firm processes and draft supervisory policies.
• Perform other assigned tasks.

Skills

Investigative skills

Securities industry knowledge

Organizational skills

Oral & written communication

Attention to detail

License readiness within 1 year

Strong work ethic

Education

Bachelor’s Degree or Equivalent Experience

Tools

Microsoft Word

Excel

PowerPoint

Job description

Compliance Specialist

Hantz Group is a Michigan-based financial company that works with individuals and businesses to help them achieve their financial goals. We are a Family Office that manages over $11B+ of assets, has 20+ offices and over 600 employees. We offer a multitude of services tailored to each individual client. We deliver a team of professionals that are experts in their specific disciplines yet work in collaboration to coordinate superior outcomes for our clients. By taking our holistic approach, we strive to reduce stress and save time for our clients so that they can focus on what’s most important for their families.

Essential Job Functions:

• Utilize investigative skills and knowledge of the securities industry to research, analyze, and resolve a variety of issues
• Ensure that the results and relevant documentation are sent to the appropriate parties along with timely, accurate, and complete written response including references to applicable rules and regulations
• Conduct periodic branch audits that will cover the annual branch audit requirements as specified in the firm’s standards and procedures
• Detects, researches, and communicates suggested areas of improvements to SVPs, site leaders, registered representatives, and office administrators of an assigned region
• Track and report on customer complaint data including testing that allapplicable required information regarding the investigation and compliant resolution are maintained
• Assist with the investigation and analysis of issues in relation to written supervisory and operational procedures, advertising and sales literature, and other relevant data
• Assist with regulatory inquires and drafting responses to regulatory authorities
• Reviewing and documenting firm processes and draft written policies and procedures regarding supervisory control functions
• All other task assigned

Education/Knowledge & Skills:

• Bachelor’s Degree or Equivalent Experience
• Strong organizational and time management skills to prioritize workload, meeting deadlines while managing multiple tasks;
• Strong oral and written communication skills, ability to communicate complex compliances rules and regulations in an effective and clear manner
• Attention to detail; enjoy working in a fast-paced environment with a high degree of independence
• Ability to obtain required licenses* within one year of employment; SIE, Series 7, Series 66, Series 24, and Michigan Life, Accident & Health, Property & Casualty and Variable Contracts Insurance Licenses
• High proficiency in Microsoft Word, Excel, and PowerPoint
• Strong work ethic

Benefits:

• Health/Dental/Vision Insurance, Paid Time Off, 401K, Vol LTD, Vol Life, Flexible Spending
  • Eligibility Requirements Vary

*Required Licenses- FINRA Securities Industry Essentials, FINRA Series 7, FINRA Series 66, SAFE Mortgage Loan Office, State Life, Accident & Health, Variable Contracts, State Property & Casualty | HFSI will sponsor and pay for all required licensing on a loan basis.

The Company does not discriminate in employment opportunities or practices on the basis of race, color, religion, sex, national origin, age, height, weight, disability, marital status, or any other characteristic protected by law.