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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 foundation is built on our talented workforce and the strong relationships we maintain with our clients. Our primary clientele consists of investment advisers registered with the U.S. Securities & Exchange Commission (the "SEC").

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

At Fairview Compliance Services, we welcome outstanding candidates from all professional backgrounds, whether they are entry-level applicants or seasoned professionals. We operate in a fast-paced, team-oriented setting that fosters significant career growth. Some travel may be required.

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

Key Responsibilities and Skills:

  • Developing professional relationships with internal compliance team members and confidently communicating with contacts at our investment adviser clients.
  • Detail-oriented, accountable to team members, and adept at meeting deadlines.
  • Assisting team efforts to ensure that adviser clients adhere to deadlines.
  • Ability to prioritize tasks, communicate effectively within the team, and monitor progress in meeting internal deadlines.

Qualifications:

  • Bachelor's degree.
  • Exceptional client service and internal team coordination abilities.
  • Strong analytical, technical, and communication skills.
  • Ability 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% healthcare 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, as we understand that our differences make us stronger.

What Sets Us Apart

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

EEO Statement

Fairview, LLC. and/or its affiliated entities (collectively referred to as the "Company") 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.