Equities Specialist

Growing financial services company has an immediate need for an Equities Specialist in its Southfield headquarters.

Essential Job Functions:

  • Daily review of new business, for accuracy and compliance reviews then follow up with Product Providers and Registered Representatives to complete and settle transactions/ business
  • Entering incoming trades, sent in to the trade desk, confirm with the Registered Representative
  • Review trade exceptions that are reported through the clearing firm and Product Providers
  • Ability to manage a case load of communications including phone calls, and emails from Registered Representatives, and Product Providers to provide critical support in the funding process of customer accounts
  • Tracking and reporting on customer accounts, posting commissions
  • Provide assistance as the liaison to Registered Representatives and Product Providers through a proactive approach
  • Handling service questions on clients’ accounts as well as assisting with administrative, procedural, operational and trade information


  • Liaison for Registered Representative and Product Providers
  • Daily review of Registered Representatives applications
  • Provide effective customer service for all Registered Representatives and Product Providers
  • Enter Trades, reconcile settlements, clearing, regulatory aspects
  • Track and assist in the timely transfer of assets for client accounts
  • Post commissions timely and accurately

Education/Knowledge & Skills:

  • Excellent communication (verbal and written) and interpersonal skills
  • Strong attention to detail
  • Excellent problem solving skills
  • Team player
  • Ability to review high degrees of independent judgment to coordinate investigations, review documentation and resolve issues
  • Good problem solving and decision-making ability
  • Proven analytic and time management skills; quick learner
  • High proficiency with PC desktop applications and MS Office
  • Bachelor's degree in Finance, Economics, Business Administration, or other related field or equivalent work experience
  • Ability to pass Series 7 and Series 66

To apply, please submit resumes to and include the position you are applying for in the subject line

HantzGroupsm is an Equal Opportunity Employer. We do not discriminate on the basis of race, color, religion, national origin, sex, age, disability, marital status, height, or weight. It is our intention that all qualified applicants be given equal opportunity and that selection decisions be based on job-related factors.