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North Capital is hiring. Qualified candidates are encouraged to apply for the following positions.

JOB DESCRIPTION
Classification: Entry Level Quantitative Financial Analyst (Full-Time)

Entry-level financial analyst position at a fast-growing financial services firm that has recently expanded to the Salt Lake City area. If you are smart, ambitious, hard working, and eager to learn, then this could be a great position for you. Key attributes and qualifications include the following:

• Bachelor degree in a quantitative field (math, physics, statistics, engineering, computer science preferred) with a strong academic record and demonstrated ability to think and work both independently and collaboratively; economics, accounting, finance majors with outstanding quantitative credentials will be considered.
• Strong work ethic;
• Logical, organized, methodical approach to modeling and problem solving with a very high attention to detail;
• Ability to coordinate, manage and prioritize multiple projects simultaneously;
• Outstanding Excel skills.
• Software design and programming skills (Java, C, C++, Java, Python, PHP).
• Strong computer skills including Word, PowerPoint, Pages, Keynote, Excel, Mac platform;
• Excellent communication skills;
• Ability to thrive in a fast-paced environment where you will be working directly with the principals of the firm.

Please send a resume and cover letter in PDF format only. North Capital is an Equal Opportunity Employer. North Capital refers to North Capital Inc. (http://www.northcapital.com), a Registered Investment Advisor, North Capital Private Securities Corp (http://www.norcapsecurities.com), a Registered Broker Dealer, member FINRA and SIPC, and their affiliated companies.


JOB DESCRIPTION
Classification: Entry Level Marketing (Full-Time)

Entry-level marketing, branding, sales support and client service position at a fast-growing financial services firm that has recently expanded to the Salt Lake City area. If you are smart, ambitious, hard working, and eager to learn, then this could be a great position for you. Key attributes and qualifications include the following:

• Bachelor degree with a strong academic record and demonstrated ability to think and work both independently and collaboratively;
• Strong work ethic;
• Keen eye for design, style and content;
• Organized, methodical approach to problem solving with a very high attention to detail;
• Natural ability to “see through the eyes of a client” to simplify processes, clarify marketing and disclosure materials, and streamline clients’ experience with the firm both online and offline;
• Ability to coordinate, manage and prioritize multiple projects simultaneously;
• Strong computer skills including Word, PowerPoint, Pages, Keynote, Excel, Mac platform;
• Familiarity with social media (LinkedIn / Twitter) and online advertising platforms would be a plus;
• Excellent communication skills;
• Outstanding writing skills;
• Ability to thrive in a fast-paced environment where you will be working directly with the principals of the firm.

Please send a resume and cover letter in PDF format only. North Capital is an Equal Opportunity Employer. North Capital refers to North Capital Inc. (http://www.northcapital.com), a Registered Investment Advisor, North Capital Private Securities Corp (http://www.norcapsecurities.com), a Registered Broker Dealer, member FINRA and SIPC, and their affiliated companies.


JOB DESCRIPTION
Classification: Compliance Specialist (Full-Time)

North Capital is recruiting for a Compliance Specialist with responsibility for providing compliance oversight and support for all entities, business lines and departments. In addition to developing and enhancing compliance and supervisory policies and procedures, the Compliance Specialist is charged with training and advising business and operational staff on compliance matters as well as with monitoring and testing of compliance-related controls, working with outside compliance consultants and advisors, liaising with outside counsel, ensuring adherence to internal and external policies, procedures, and applicable laws and regulations.

The Compliance Specialist will be responsible for planning objectives and testing scope for multiple reviews as well as conducting the testing/fieldwork, identifying issues, determining corrective actions, documenting findings, and tracking remediation of deficiencies. Interested candidates should email This e-mail address is being protected from spambots. You need JavaScript enabled to view it with subject line “Compliance Associate” and include a PDF version of your CV.

REQUIREMENTS

Essential duties and responsibilities

Plan and execute compliance reviews according to the established risk based review schedule and on an ad-hoc basis, if necessary.

Liaise with senior management to prepare annual Compliance Review Plan based on the Risk Assessment results.

Conduct periodic testing and verification protocols to ensure the efficacy of applicable compliance-related internal and external policies and procedures, and to verify the firm’s compliance with applicable rules, laws, and other regulatory requirements.

Evaluate internal controls and identify procedural and policy deficiencies and anticipate and provide solutions to complex issues.

Work with senior management, outside compliance consultants and advisors, and outside counsel to develop appropriate action plans and make recommendations, where appropriate, to improve processes, remediate deficiencies and strengthen the firm’s control environment.

Present and formalize testing results in written desk review reports which will be issued to Senior Management

Collaborate with responsible parties to ensure timely resolution of desk review and audit issues (internal and external) and track outstanding issues and their resolution

Improve compliance testing and monitoring program and develop new written policies and procedures for consideration by management.

Maintain a broad knowledge of the firm’s business and the regulatory framework in which it operates.

Maintain relationships with business compliance professionals (including internal and outside resources), front office professionals and management to keep abreast of current business developments and regulatory issues that could impact the firm.

Manage internal and external reviews and audits for the firm, under the direction and supervision of management.

Prepare reports and other requests for ongoing regulatory reviews by external regulators, compliance consultants, counsel, and management.

Own and coordinate the process of recordkeeping, tracking and monitoring all compliance related protocols to ensure that goals and objectives are met on time and according to plan. This includes providing timely reminders and status reports and escalating matters to management as appropriate.

Contribute to firm initiatives such as training and personnel development as necessary.

Qualifications

• Bachelor degree from an accredited college or university.
• Ambitious professional who is a natural self-starter and problem solver with excellent interpersonal skills and writing ability and unimpeachable integrity.
• Minimum of 2 years experience in a compliance, audit, consulting, or legal role in the financial services industry, or other high-process-oriented position.
• Registered personnel will receive preference.
• Experience with compliance testing, review, and/or audit preferred.
• Knowledge and experience in the areas of AML, KYC, Accredited Investor certification, related regulations preferred.
• Experience with regulatory authorities and external consultants preferred.
• Ability to analyze and interpret regulatory rules and guidelines and to assess their impact on the business.
• Strong attention to detail with pro-active approach to preventing and solving problems.
• Proficiency with computers including Microsoft Word, Excel, and PowerPoint.

Please send a resume and cover letter in PDF format only. North Capital is an Equal Opportunity Employer. North Capital refers to North Capital Inc. (http://www.northcapital.com), a Registered Investment Advisor, North Capital Private Securities Corp (http://www.norcapsecurities.com), a Registered Broker Dealer, member FINRA and SIPC, and their affiliated companies.
 

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