Fairview LLC · 10 hours ago
Compliance Associate
Raleigh,NC,US
Full-time
Onsite
New Grad, Entry LevelFairview LLC is seeking a dedicated and detail-oriented Compliance Associate to join their dynamic team. The role involves preparing clients for SEC exams, managing compliance programs, maintaining records, and supporting the creation of compliance manuals and policies. The Compliance Associate will work closely with various team members to ensure adherence to SEC regulations and streamline workflows.
AdviceAsset ManagementFinancial Services
Responsibilities
Maintain compliance logs that are the basis of adviser client reports
Data entry into our internal software application
Maintain client files and compliance calendars
Provide administrative support services to Senior Compliance, Lead Compliance and Relationship Managers
Other duties as assigned
Qualification
Required
Bachelor's degree in finance, economics, business administration or similar
Able to work independently as well as within a team, while adhering to tight deadlines
Ability to prioritize and move between tasks efficiently
High energy self-starter with strong communication skills
Microsoft Office applications (Outlook, Teams, Excel, Word, PowerPoint in particular)
Benefits
100% health care coverage for full-time employees AND dependents
Dental, vision and life insurance
A 401(k) with a match
Generous paid time off
Company
Fairview LLC
Providing full-service, backend regulatory support services to investment advisers and other financial institutions through five distinct practice areas: • Compliance Administration: supports CCOs with the day-to-day operations and maintenance of compliance programs so that required records, filings, screenings, client setup and recording are current and readily available.
Founded in 2005
51-200 employees
Funding
Current Stage
Growth StageLeadership Team
Frank Watson
Founder
Company data provided by crunchbase