Funds Compliance Associate — Client-Facing, ETFs & MFs

Fairview, LLC; Raleigh (NC); In loco; USD 65.000 - 110.000; Tempo pieno

Descrizione del lavoro

Fairview, LLC is seeking a Compliance Associate with experience in mutual funds, ETFs, and registered investment companies. This client-facing role collaborates with our compliance team to support SEC-registered investment advisers that manage or advise registered funds.

The ideal candidate will understand the Investment Company Act of 1940 and the Advisers Act, and possess strong communication, attention to detail, and collaborative skills to support compliance programs and regulatory filings.

Competenze

• Bachelor's degree required.
• Experience with mutual funds, ETFs, or registered investment companies.
• Knowledge of the Investment Company Act of 1940 and the Investment Advisers Act of 1940.
• Experience in investment management compliance, legal or regulatory matters is a plus.
• Strong analytical and organizational skills with attention to detail.
• Excellent written and verbal communication with clients and colleagues.

Mansioni

• Work directly with SEC-registered investment adviser clients that serve as investment 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 administration, monitoring, testing, and enhancement of compliance policies and procedures.
• Review policies, procedures, and compliance testing related to mutual fund and ETF activities.
• Support regulatory filings, compliance monitoring, documentation, and recordkeeping requirements.
• Contribute to materials for registered fund compliance oversight and governance.
• Identify regulatory developments affecting registered investment advisers, mutual funds, and ETFs and assess impact on programs.
• Collaborate on matters involving fund service providers and other parties supporting registered investment companies.
• Participate in client meetings and provide practical compliance support for registered fund activities.
• Assist with SEC examinations, compliance reviews, and annual reviews involving investment advisers and registered investment companies.

Conoscenze

Mutual funds knowledge

ETF knowledge

Client-facing experience

Regulatory compliance

Attention to detail

Strong communication

Formazione

Bachelor's degree

Descrizione del lavoro

Fairview, LLC is seeking a Compliance Associate with experience in mutual funds, ETFs, and registered investment companies. This client-facing role collaborates with our compliance team to support SEC-registered investment advisers that manage or advise registered funds.

The ideal candidate will understand the Investment Company Act of 1940 and the Advisers Act, and possess strong communication, attention to detail, and collaborative skills to support compliance programs and regulatory filings.