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Regulatory Compliance Operations Specialist

2 months ago

Raleigh, North Carolina, United States Fairview Full time
Job Overview

Why Choose Fairview Compliance Services?

At Fairview Compliance Services, our core strength is our talented workforce and the robust relationships we cultivate with our clients, primarily investment advisers registered with the U.S. Securities & Exchange Commission (the "SEC").

Our team thrives on the self-motivation, ambition, and determination of our employees. We are in search of exceptional individuals who embrace challenges, are eager to take on increasing responsibilities, and flourish in a fast-paced, dynamic environment that promotes teamwork, qualitative and quantitative analysis, and a commitment to delivering unparalleled service to our clients. Our collaborative atmosphere presents excellent opportunities for career advancement.

We seek outstanding candidates across all business sectors, whether they are entry-level or seasoned professionals. Our environment is fast-paced and team-oriented, offering significant potential for career growth. A small amount of travel may be necessary.

Compliance Operations Associates concentrate on specific facets of the operations team, which involves utilizing various in-house and external applications to organize and extract data for conducting reviews in designated information systems.

Key Responsibilities and Skills:

  • Building professional relationships with internal compliance team members and communicating effectively with contacts at our investment adviser clients.
  • Detail-oriented and accountable to team members, with a comfort level for meeting deadlines.
  • Assisting team efforts to ensure that adviser clients adhere to deadlines.
  • Ability to prioritize tasks, communicate internally, and monitor progress in achieving internal deadlines.

Qualifications:

  • Bachelor's degree.
  • Exceptional client service and internal team coordination abilities.
  • Strong analytical, technical, and communication skills.
  • Capability to collaborate closely with stakeholders from various disciplines, Fairview colleagues, and within a team.
  • Proficient in Microsoft Excel.
  • Willingness to undergo a background check.

Working at Fairview Compliance Services

At Fairview, we recognize that our employees are our most valuable assets. Therefore, we offer competitive salaries, excellent career opportunities, and a comprehensive benefits package, including 100% health care coverage for full-time employees and their dependents, as well as dental, vision, and life insurance, a 401(k) plan with matching contributions, and generous paid time off.

All employees experience a collaborative and supportive work environment, professional development opportunities, and a company that genuinely cares about its employees, services, and clients. We take pride in our diverse workforce, understanding that our differences enhance our strength.

What Sets Us Apart

  • 100% employee-owned
  • Comprehensive benefits package including 100% health care coverage for full-time employees and their dependents
  • Competitive salaries
  • Extensive professional development opportunities
  • Collaborative and diverse team

EEO Statement

Fairview, LLC. and its affiliated entities provide 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 where the company operates. 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.