What are the responsibilities and job description for the Compliance Associate position at Fairview®?
Company Description
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.
Job Responsibilities
Responsibilities will include document scanning and filing, reviewing statements and transaction activity, maintaining compliance logs, testing compliance procedures and supporting relationship managers in client service functions. The compliance associate shall assist senior compliance consultants in providing regulatory compliance consulting services to investment advisors. Candidate must be very detailed oriented, a self-starter, proficient in Microsoft Office applications, comfortable using technology tools to accomplish work tasks and have a passion for learning new regulations related to investment advisers.
- Document scanning and filing, reviewing statements and transaction activity, maintaining compliance logs, testing compliance procedures and supporting relationship managers in client service functions.
- Candidate must be very detailed oriented, a self-starter, proficient in Microsoft Office applications, comfortable using technology tools to accomplish work tasks and have a passion for learning new regulations related to investment advisers.
- Assist in the preparation of regulatory documents.
- Maintain firm records calendars, workflows and status updates.
- Data entry into our internal software program or excel.
- Provide administrative support services to senior compliance consultants.
- Other duties as assigned.
- Planning and organizing priorities while maintaining highest level of service to clients
- Multitasking and managing multiple projects within tight deadlines
Qualifications
- Bachelor’s degree in related field
- Customer focused results driven
- High energy self-starter with strong relationship management skills
- Able to work quickly as an individual as well as within a team
- Will train new grads
Working at Fairview and FilePoint
At Fairview®, we understand that our employees are our greatest assets. That’s why we offer competitive salaries, excellent career opportunity and a rich competitive benefits package: including 100% health care coverage for full-time employees AND dependents, as well as dental, vision and life insurance, a 401(k) with a match and generous paid time off.
All employees get the full experience – including a collaborative and supportive work environment, professional development opportunities and companies who truly care about their employees, services and clients. And we take pride in our diverse workforce, because we know that our differences make us stronger.
Fairview is based in Raleigh, NC, which is consistently ranked on U.S. News & World Report’s annual list as one of the Best Places to Live.
What makes us different
- 100% employee-owned
- Rich benefits package including 100% health care coverage for full-time employees AND dependents
- Competitive salaries
- Ample professional development opportunities
- Collaborative, diverse team
EEO Statement
Fairview, LLC. and / or each of its affiliated persons and entities (together referred to herein as the “Company”) provides equal employment opportunities (EEO) to all employees and applicants for employment without regard to race, color, religion, age, sex, national origin, disability status, genetics, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by federal, state or local laws. In addition to federal law requirements, Fairview, LLC. complies with applicable state and local laws governing nondiscrimination in employment in every location in which the company has facilities. This policy applies to all terms and conditions of employment, including recruiting, hiring, placement, promotion, termination, layoff, recall, transfer, leaves of absence, compensation and training.