Company Description

ViewPoint Partners and its affiliates, including Fairview Compliance Services, were 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.

The Senior Compliance Associate role supports the team with compliance testing, risk assessment and implementation of the client’s compliance program. The compliance group helps maintain policies and procedures, disclosures, SEC filings, and integration of new regulations enforced by the SEC.? Successful candidates can interpret the rules to provide guidance and execution of the various activities for each investment adviser client to ensure compliance.

Candidate must be very detailed oriented, analytical, 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. Key duties and skills:

The role includes:

• Establishing working relationship with investment adviser clients to deliver guidance and advice that is consistent with SEC and/or state regulatory requirements and best practices.
• Working with colleagues with transactions and regulatory issues.
• Researching and compiling all required data elements needed to prepare the appropriate electronic filing and/or composition of SEC EDGAR filings, prospectuses, annual reports and other financial compliance documents.
• Conferring with customers and/or customer’s legal counsel throughout Composition to keep them informed of the status of jobs, solicit additional information needed for current jobs and coordinate changes to jobs. Ensure final documents are signed off and approved for print or posting to online systems.
• Developing action plans by determining corporate positions; conducting research; developing strategies for complaints, investigations, and administrative proceedings.
• Recommending public policy strategies by keeping management, operational, and marketing areas informed on public policy issues

Qualifications

• Undergraduate degree.
• Advance degree optional.
• Excellent client service and internal coordination skills.
• Strong analytical, drafting, and communication skills.
• Ability to collaborate closely with stakeholders from different disciplines, Fairview® colleagues, and within a team.
• Must be willing to 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.