Description

Company Description

The Compliance Analyst role supports the team with compliance testing, risk assessment and documentation and implementation of the client’s compliance program. The compliance group helps maintain policies and procedures, disclosures, SEC filings, and facilitates the implementation of new regulations enforced by the SEC. Successful candidates can interpret the rules to provide internal expertise in handling compliance testing and producing compliance reports for investment adviser clients. Key duties and skills:

Key duties and skills:

• Detailed oriented, analytical, comfortable using technology tools to accomplish duties and have an interest in learning new regulations related to registered investment advisers
• Collaborating with colleagues to complete compliance testing of policies and procedures, assessing the adviser’s compliance program and preparing regulatory filings
• Collaborating with colleagues to manage and analyze financial data
• Provide organizational support for colleagues to prepare and respond to regulatory requests
• Preparing client call agendas and assisting colleagues with follow ups
• Report preparation and supporting relationship managers in client service functions
• Multitasking and managing multiple projects within tight deadlines
• Provides peer training support to Compliance Associates and Compliance Support

Requirements

Qualifications

• Undergraduate degree.
• Minimum 3 years of office work experience.
• Be able to demonstrate outstanding analytical and organizational skills.
• Strong competency in Microsoft Excel.
• Excellent client service and internal team coordination skills.
• Ability to collaborate closely with stakeholders from different disciplines, Fairview colleagues, and within a team.
• Must submit to a background check.

Working at Fairview Compliance Services

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.