Fund Compliance Associate - Mutual Funds & ETFs

Fairview Compliance Services; Raleigh (NC); On-site; USD 70,000 - 110,000; Full time

Job summary

Fairview Compliance Services is seeking a Compliance Associate with experience and working knowledge of mutual funds, ETFs, and other registered investment companies. This role will work directly with clients and collaborate with the compliance team to support SEC-registered investment advisers.

The ideal candidate will have practical knowledge of the Investment Company Act of 1940, the Investment Advisers Act of 1940, and the compliance requirements applicable to funds and their advisers.

Qualifications

• Bachelor's degree required or equivalent experience in finance/compliance.
• Practical knowledge of the Investment Company Act of 1940 and the Investment Advisers Act of 1940.
• Experience with SEC-registered investment advisers and registered funds is preferred.
• Strong analytical and organizational skills with careful attention to detail.
• Excellent written and verbal communication for client-facing work.
• Ability to collaborate with clients and compliance colleagues.

Responsibilities

• Work directly with SEC-registered investment adviser clients that serve as advisers or sub-advisers to mutual funds, ETFs, and other registered investment companies.
• Collaborate with the compliance team to support clients' ongoing compliance programs.
• Assist with regulatory filings, monitoring, testing, documentation, and recordkeeping requirements.
• Review policies, procedures, and testing related to mutual funds and ETF activities.
• Support preparation and review of materials related to registered fund compliance oversight and governance.

Skills

Mutual funds knowledge

ETFs knowledge

Regulatory compliance

Client-facing communication

Attention to detail

Education

Bachelor's degree

Job description

Fairview Compliance Services is seeking a Compliance Associate with experience and working knowledge of mutual funds, ETFs, and other registered investment companies. This role will work directly with clients and collaborate with the compliance team to support SEC-registered investment advisers.

The ideal candidate will have practical knowledge of the Investment Company Act of 1940, the Investment Advisers Act of 1940, and the compliance requirements applicable to funds and their advisers.