Strategic Financial Compliance Analyst

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

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.