Compliance Associate

Fairview Compliance Services • Raleigh, NC

13h

About The Position

Fairview Compliance Services is pleased to announce an exciting opportunity for a dedicated and detail-oriented Compliance Associate to join our dynamic team. At Fairview, we prepare clients for SEC exams and offer comprehensive, hands-on support throughout the entire exam process, ensuring they remain compliant with the ever-evolving landscape of SEC regulations. Our team manages the day-to-day operations of RIA compliance programs—including maintaining essential records, filings, testing, and documentation—while also supporting the creation and ongoing refinement of clients’ compliance manuals, codes of ethics, and cybersecurity policies. By leveraging proprietary software solutions, we streamline workflows and uphold the highest standards of regulatory excellence, delivering tailored services that meet each client’s unique needs.

Requirements

• Detailed oriented, analytical, comfortable using technology tools to accomplish duties
• Ability to prioritize tasks, communicate internally and track progress in meeting internal deadlines
• 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).

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.

Benefits

• Competitive salaries
• Excellent career opportunity
• 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.
• Collaborative and supportive work environment
• Professional development opportunities
• Companies who truly care about their employees, services and clients.
• Diverse workforce
• 100% employee-owned

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level
• Number of Employees: 11-50 employees