Our Team Or No Team

CAREERS

Spartan Capital is a global leader in the financial services industry.  Recognizing that our team is central to the future success of our organization, we offer extensive opportunities for training and development at every level in an environment that encourages and rewards individual contribution and participation.

Spartan Capital is committed to attracting, developing and retaining the highest caliber talent and fully leveraging that talent to achieve consistently strong results.  We provide a solid foundation to build a rewarding and lucrative career.

To inquire about opportunities at Spartan Capital, please contact us at [email protected] or complete the form below.


INDEPENDENT FRANCHISE OPPORTUNITIES

Spartan Capital Securities is a full service broker-dealer and investment banking firm headquartered in the financial district at 45 Broadway. We have built an unrivaled reputation as trusted Financial Advisors.

Spartan Capital is committed to helping established Financial Advisors transition to independence. In addition to competitive payout structures and access to a wide array of investment products, services and solutions, we provide the knowledge, expertise and responsiveness necessary to build and maintain successful franchises. Our experienced staff manages all daily operations so you can focus solely on your clients.

Learn More

Position Openings:

"Our Team or No Team"
Investment Banking
Role Overview

Spartan Capital Securities, LLC. is expanding their investment banking platform and looking for talented Associates to join the team. The Associate role will work with team members to support the new business, transaction execution, and client management efforts of the organization, while gaining broad and deep exposure to a variety of transactions.

Responsibilities

Partner with senior banking team members to build financial models and prepare presentation materials and other deliverables for investment banking clients
Serve as a key resource working closely with Vice Presidents and Managing Directors to create client deliverables and meet ad-hoc client requests
Lead due diligence sessions for clients
Play a key role supporting origination, evaluating opportunities and executing deals, working on a broad scope of assignments and products across multiple sectors
Prepare client presentations and final work products
Perform industry and company research
Assist in coordinating information flow and execution with product groups
Education, Experience and Qualifications

Bachelor’s degree required
Minimum 3 plus years of Investment Banking experience
Series 63, 79 licenses
Experience with executing IPOs, follow on and shelf offerings and PIPEs a plus
Strong quantitative and analytical skills
Excellent technology skills with superior Microsoft Excel and PowerPoint skills
Professional maturity and experience to interact with senior bankers
Demonstrate strategic and creative thinking and distinguished communication skills
Ability to manage several projects at once and work effectively as an individual and as part of a team
Strict attention to detail with demonstrated ability to take initiative
Should possess interest and understanding of financial markets, aptitude to learn, and demonstrated history of strong academic performance and professional drive.

Compensation based on production
Wealth Managers
Spartan Capital is now accepting applications for our state of the art facility in the heart of the financial district as well as our location in Garden City, New York.

As we continue to grow, we are building our financial force and looking for motivated candidates to join our team and build your career amongst highly talented and driven individuals, who are willing to work to make you better.

Spartan Capital is committed to attracting, developing, and retaining the highest caliber talent and to fully leveraging that talent to consistently achieve strong business results.

What Sets us Apart
• Advisory and Insurance Service*
• Investment Banking
• Propriety Research
• Competitive Compensation Packages
• In Depth Training Program
• Accelerated Payout Structure
• Transitional Pay Assistance
• Bonuses and Incentive Programs Advisory Platform
• State of the Art Technology
• Competitive Work Environment

Whether you are a seasoned stockbroker or recently joined the financial industry, contact us today at [email protected] to learn more about opportunities at Spartan Capital.

*Through our affiliated firms Spartan Capital Advisory Services, LLC. and Spartan Insurance Agency LLC.

Commission-Based
Equity Sales
Established Broker-Dealer looking for energetic, ambitious individuals with a book of business to join a successful equity trading desk. In addition, you will be required to prospect new accounts to expand the Institutional Equity Team. The ideal candidate will have quantitative low touch algorithmic experience relevant to today’s US equity markets. The job will require ability to understand, discuss and implement best execution strategies for Institutional Clients. We envision this as a hybrid sales trading coverage roll as the job will require high touch responsibilities. Build your career amongst highly talented and driven individuals.

Job Requirements:
• Must have an independent book of institutional agency business with strong buy-side relationships. • Must have a minimum of three years equity sales trading and institutional experience. • Must be knowledgeable of institutional order executions and allocations • Ability to multi-task and to work well under pressure, strong problem-solving skills and decision-making skills • Must be Series 7, 57 (55), and 63 licensed.

What Sets us Apart
• Investment Banking • Proprietary Research • Competitive Compensation Packages • State of the Art Technology • Competitive Work Environment Teams are welcome and encouraged!

Commission-Based
Research Analyst
As a Spartan Equity Research Analyst, you will be responsible for analyzing industry macro trends and company financials as a General Senior Analyst. You will enjoy a diverse range of work and expand your experience as you prepare research reports that vary in size and scope. With the experience and depth of resources, Global Equity Research is dedicated to providing insightful analysis of global stock markets and companies.

Duties will include, but not limited to:

• Building and maintaining financial models and industry databases for evaluating companies and market segments
• Reviewing business and trade publications, annual reports, financial filings and other sources in order to gather, synthesize and interpret data on companies followed by team
• Researching, analyzing and forecasting the impact of technology as well as varying corporate strategies • Writing research reports varying from quick briefs on earnings results or strategic events to more in-depth, original thought pieces
• Communicating recommendations to sales, trading, management teams, institutional investor clients and other important stakeholders
• Developing marketing materials for clients and attend industry conferences where appropriate

What we're looking for:

• You will have a Bachelor's degree and preferably relevant experience in Retail Investment Research or Investment Banking (sector is not essential)
• A fantastic verbal and written communicator who enjoys collaborating with others
• Solid financial experience including financial modeling, financial statement analysis and working with large data sets will help you excel in this role

Skills that will help you in the role:

• This role requires FINRA licensing: SIE, S63, S86, S87
• Your analytical and problem solving skills and a resourceful, entrepreneurial spirit will help you work effectively in our team environment
• You will have demonstrated ability to multi-task in a time sensitive environment whilst maintaining a high level of attention to detail

75K-150K plus bonus
Compliance Associate
Role Summary: Working in conjunction with the Chief Compliance Officer in fulfilling all Regulatory and Compliance requirements.

The position involves, but is not limited to;
  • Ensure that the Firm adheres by it’s policies and procedures
  • Assist in monitoring activity of all registered representatives
  • Review of all new accounts and ongoing review of suitability of customer account activity
  • Review of daily weekly and monthly exception reports and taking necessary actions
  • Assisting in the handling of customer complaints and regulatory inquiries
  • Review of RR correspondence, including all e-mail correspondence
  • Assist in regulatory reporting matters and filings
  • Conduct registration filings for the firm and the registered representatives

Qualification:
Minimum of 5 years Experience
Series 7, S63
Sales Assistant
Spartan Capital Securities LLC, a rapidly growing financial services company, is seeking an experienced Sales Assistant to provide comprehensive support to a team of financial consultants. Successful candidates should have a minimum of 3 years’ experience supporting registered representatives in the securities industry and must possess a strong ability to multi-task, excellent written and verbal communication skills, a high level of organizational and time management skills, as well as a polished demeanor and a positive and friendly attitude.

The primary responsibilities include, but are not limited to, the following:
  • General administrative duties (i.e. filing, faxing, copying, answering phones etc.)
  • Calendar management
  • Organize travel arrangements for employees
  • Process the opening of New Accounts via the clearing firm’s system.
  • Track and maintain New Account files in accordance with internal procedures as well as Regulatory Rules and Regulations.
  • Respond to phone calls/e-mails and requests from clients.
  • Correspond with clearing firm personnel regarding margin, stock loans, reg t, buy ins, write offs, and documentation inquiries.
  • Coordinate with back office and clearing firm to resolve daily issues
  • Ad hoc projects as requested
  • Maintain a high level of confidentiality and professionalism at all times
Requirements:
  • Series 99 Licensure
  • Series 7 Licensure
  • Knowledge of "Axos" a plus
  • Bachelor’s Degree preferred
  • Must be extremely professional, organized, positive, flexible and possess a team player attitude.
Salary commensurate with experience - Health benefits, 401k and Profit Sharing Plan, Discretionary Bonus
Great opportunity for the right individual!
Intern
Fast –growing highly reputable boutique advisory investment firm is looking for Information Technology intern.

Incredible work environment and team culture – work among highly motivated true professionals

Internship experience is challenging, intense and enjoyable – an incredible career-launcher

Training prepares for workforce entry and career development:

Understanding of IP Networking, DNS, VPN, Wifi, subnetting, corporate AV, and authentication systems. Supervised administration of network/server infrastructure in Windows 2003/2008/2012R2 Active Directory Supervised administration of Disaster Recovery systems like Symantec Backup Exec, Starcraft local BDR, Cloud based BDR and implementation.

Supervised Configuration of Cisco routers and switches, maintenance and understanding of Firewalls Understanding of Microsoft Office products.

Supervised Telephone System administration and maintenance.

Get college credit
Get exceptional hands on experience
List experience on resume
Receive a great reference letter
Receive a bonus upon completion of internship

Please fill out the application below to apply


"Our Team or No Team"