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Marketing Compliance Associate

2 months ago

Raleigh, United States Fairview Full time
Job DescriptionJob DescriptionDescription:

Why Fairview Compliance Services?

At Fairview Compliance 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 Compliance 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.

The Compliance Operations Review Associate focus on specific areas of the operations team which includes working in various in-house and external applications to organize and extract data for perform reviews in certain information systems.

Key duties and skills:

  • Utilizing client marketing review process, and rule requirement, checklists
  • Building knowledge of Marketing Rule and custom client marketing reviews
  • Maintaining communication with the Marketing Compliance Manager and the client account team with regard to marketing review:
  • Questions
  • Training on specific clients
  • Responsible for performing reviews and conducting tests of marketing materials for compliance with the Securities & Exchange Commission’s marketing rules and regulations.
  • Establishing working relationships with internal compliance team colleagues and be comfortable corresponding in a professional manner with contacts at our investment adviser clients.
  • Excellent communications skills and effective writer
  • Detail-oriented, accountable to other team members and comfortable with deadlines.
  • Supporting team efforts to ensure adviser clients make deadlines.
  • Ability to prioritize tasks, communicate internally and track progress in meeting internal deadlines.


Requirements:
  • Undergraduate degree.
  • Excellent client service and internal team coordination skills.
  • Strong analytical, technical, and communication skills.
  • Ability to collaborate closely with stakeholders from different disciplines, Fairview® colleagues, and within a team.
  • Proficient Microsoft Excel skills.
  • 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: health care, 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
  • 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.