Compliance Associate

Raleigh, North Carolina, United States Full-time

 

Fairview Investment Services seeks a highly motivated and organized individual to serve as Compliance Associate. The role aims to support and facilitate Fairview Investment Services business to be conducted and supervised in compliance with applicable laws, regulations and firm policies. The Compliance Associate will reinforce the firm’s culture of compliance by: providing general compliance advice and support primarily for Fairview Investment Services clients; creating and updating of policies and procedure; performing monitoring/surveillance; reviewing marketing materials and assist in conducting training.

Responsibilities

  • Maintain compliance logs, testing compliance procedures and supporting relationship managers in client service functions. 
  • Provide guidance to the business as necessary on compliance, client guideline interpretation and regulatory issues.
  • Identifies potential areas of compliance vulnerability and risk and aids in development and implementation of corrective action plans for resolution of such vulnerabilities.
  • Assisting clients with the development of compliance-related policies and procedures.
  • Providing assistance in a consulting capacity to clients in resolving regulatory enforcement actions or remediating known compliance deficiencies.
  • Document scanning and filing, reviewing statements and transaction activity.

Desired Characteristics

  • Bachelor's Degree required in related discipline (legal, economics, accounting, finance)
  • Ability to manage multiple tasks simultaneously.
  • Legal or Compliance knowledge.
  • Knowledge of the key SEC rules and regulations. 
  • Candidate must be very detailed oriented, a self-starter, and proficient in Microsoft Office applications.
  • Candidates must be comfortable using technology tools to accomplish work tasks and have a passion for learning new regulations related to investment advisers.

Why Fairview

Fairview was founded with a mission of providing outstanding customer service to advisory firms. Growing money management firms generally struggle with handling the operational challenges of many new accounts and different types of relationships. A service company invested heavily in technology and operations expertise can be the perfect complement to advisers who want to stay focused on their primary objective, managing money.

At Fairview Investment Services, our strength lies in our people and in our client relationships. We excel based on the self-motivation, ambition, and drive of our employees. We seek exceptional candidates who embrace challenges, welcome increasing responsibilities, and thrive in a fast-paced, dynamic environment that exposes them to team interaction, an intensive sales and quantitative analysis process, and a philosophy of providing unparalleled service to our clients. At Fairview Investment Services, we look for outstanding candidates in all business areas, whether they are entry-level applicants or experienced professionals.


We work in a fast-paced, team-oriented environment which offers a great opportunity for career growth. A small amount a travel may be required. We offer competitive salaries and excellent benefits including health insurance, vision insurance, dental insurance, 401k, Health Savings Plan, long-term disability and life insurance.


For more information visit www.fairviewinvest.com