Compliance Associate

Fairview LLC; Raleigh (NC); On-site; USD 55,000 - 75,000; Full time

Benefits offered by this job

Health insurance

Dental insurance

Vision insurance

Life insurance

401(k) with match

Paid time off

Employee ownership

Job summary

Fairview Compliance Services is seeking a Compliance Associate to join our Raleigh, NC team. You will support SEC exam preparation for RIAs, maintain compliance logs, manage client files and calendars, and perform data entry in our internal software, while assisting senior staff and relationship managers.

The role requires a bachelor’s degree in finance/economics/business and the ability to work independently under tight deadlines.

Qualifications

• 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

• Detail oriented and analytical; comfortable using technology tools.
• Prioritize tasks, communicate internally and track progress to meet deadlines.
• Maintain compliance logs used for adviser client reports.
• Data entry into internal software application.
• Maintain client files and compliance calendars.
• Provide administrative support to Senior Compliance, Lead Compliance and Relationship Managers.
• Other duties as assigned.

Skills

Detail oriented

Analytical

Strong communication skills

Education

Bachelor’s degree in finance, economics, business administration or similar

Tools

Microsoft Office

Job description

Description

Join Fairview Compliance Services 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.

Key Duties And Skills

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

Requirements

• 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).

Qualifications

• 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).

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: 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.

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.

ViewPoint Partners and its affiliates Fairview and FilePoint are 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.

• 100% health care coverage for full-time employees AND dependents
• dental, vision and life insurance
• a 401(k) with a match
• generous paid time off

What makes us different

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

EEO Statement

ViewPoint Partners 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, ViewPoint Partners. 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.