What are the responsibilities and job description for the Compliance Analyst position at Fairview®?
Why Fairview Investment Services?
At Fairview Investment Services, our strength lies in our people and in our client relationships. Our clients are primarily investment advisers who are registered with the U.S. Securities & Exchange Commission (the “SEC”).
Our team excels 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, qualitative and quantitative analysis process, and a philosophy of providing unparalleled service to our clients. Our team-oriented environment offers a great opportunity for career growth.
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 of travel may be required. We offer competitive salaries and excellent benefits including health insurance, vision insurance, dental insurance, 401k, flexible savings account, long-term disability and life insurance.
The Compliance Analyst 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 facilitates the implementation 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 with such rules.
Candidate must be very detailed oriented, analytical, a self-starter, proficient in Microsoft Office applications, comfortable using technology tools to accomplish duties and have an interest in learning new regulations related to registered investment advisers. The role includes:
- Working with colleagues to complete compliance testing of policies and procedures, assessing the adviser’s compliance program and preparing regulatory filings.
- Working with colleagues to manage and analyze financial data.
- Correspond with colleagues and clients to prepare and respond to regulatory requests.
- Preparing client call agendas, running client meetings, and assisting colleagues with follow ups.
- Draft policies and procedures for investment advisor clients based on regulatory expectations.
- Providing support to clients during regulatory exams.
Qualifications
- Undergraduate degree.
- Minimum 1 year 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.
More Information Benefits & Programs
All full-time employees at Fairview enjoy a variety of benefits. We cover 100% premium for health, dental, vision, term life insurance, and long-term disability. We also offer a 401(k)Safe Harbor Plan, flexible spending account, paid time off and paid company holidays. When you join our firm you get the full Fairview experience – including a happy work environment with professional development opportunities and a staff who cares about their products and clients.
**Benefits may be modified, added or terminated at any time by the insurance company or benefit provider per the terms of the plan or by Fairview at its discretion.
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.