Fund Compliance Specialist - Mutual Funds & ETFs

Fairview LLC; Raleigh (NC); On-site; USD 65,000 - 90,000; Full time

Job summary

Fairview LLC is seeking a Compliance Associate with practical knowledge of mutual funds, ETFs, and registered investment companies. The role will work directly with clients and collaborate with our compliance team to support SEC-registered investment advisers.

The ideal candidate applies knowledge of the Investment Company Act of 1940 and the Advisers Act, contributing to ongoing compliance programs, examinations, and regulatory filings while maintaining rigorous attention to detail and

Qualifications

• Professional experience with mutual funds, ETFs or registered investment companies.
• Working knowledge of the Investment Company Act of 1940 and related compliance requirements.
• Familiarity with the Investment Advisers Act of 1940 and adviser obligations.
• Experience in investment management compliance, fund governance, or related field.
• Ability to apply regulatory requirements to day-to-day compliance activities.

Responsibilities

• Work directly with SEC-registered investment adviser clients serving funds, ETFs, and other registered investment companies.
• Collaborate with compliance team to support client programs and ongoing compliance.
• Assist with regulatory filings, monitoring, testing, documentation, and recordkeeping.
• Support prepared materials related to registered fund compliance oversight and governance.
• Identify regulatory developments and evaluate impacts on client programs.
• Engage with fund service providers and other linked parties on compliance matters.
• Participate in client meetings and deliver practical compliance support.
• Assist with SEC examinations, compliance reviews, and annual reviews.

Skills

Analytical skills

Organizational skills

Written communication

Verbal communication

Multi-tasking

Education

Bachelor's Degree

Job description

Fairview LLC is seeking a Compliance Associate with practical knowledge of mutual funds, ETFs, and registered investment companies. The role will work directly with clients and collaborate with our compliance team to support SEC-registered investment advisers.

The ideal candidate applies knowledge of the Investment Company Act of 1940 and the Advisers Act, contributing to ongoing compliance programs, examinations, and regulatory filings while maintaining rigorous attention to detail and