Compliance Specialist recruitment
Niemann Capital Management, Inc. is a rapidly growing, dynamic RIA firm where every individual makes a valuable contribution to the Company’s success. We pride ourselves on delivering the highest level of service in the Financial Services industry.
We offer competitive salaries, employer-sponsored benefits for employees and dependents, 401(k), tuition reimbursement, casual dress and bonus/incentive programs.
About the Opportunity
We're looking for individuals who are interested in long-range career growth and have the strategic ability to plan for their professional futures. We offer a unique culture that fosters individual growth and rewards performance. The work environment is fast-paced and high-energy.
We need a talented individual to fill the role of Compliance Specialist for Niemann Capital Management, Inc. The current opening is for our Carson City, NV location. The primary responsibilities for this position are:
• Implement and monitor employee trading policies in conjunction with SEC/FINRA requirements
• Research, monitor and review any trading errors
• Daily review of trade blotter and variance tools
• Assist in the completion of NCM’s Annual Compliance Review
• Assist with Quarterly GIPS verification process
• Assist in ongoing monthly/quarterly reporting requests
• Provide Trade support to NCM's Analytics Team
• Research equity products and funds
QUALIFICATIONS:
• Four year degree from an accredited university
• 2 to 5 yrs. experience in a financial services Compliance environment, trading exp a plus
• FINRA Licensing: Series 7, 24, 63
• Working knowledge of state and federal regulations surrounding the investment advisory, insurance and brokerage business
• Familiar with Social Media platforms and advertising
• ’40 Act experience a plus
• Ability to work independently and consistently meet deadlines
• Strong organizational, analytical and communication skills
• Detail oriented, self-starter, creative
• Strong computer skills
*Niemann Capital Management, Inc. is an Equal Opportunity Employer.
Relocation is not available for this position. No recruiters or agencies. Please submit resume for consideration to jobs@ncm.net. No phone calls or faxes please.