Fairview LLC · 15 hours ago
Marketing Compliance Associate
Raleigh,NC,US
Full-time
Onsite
New Grad, Entry LevelFairview Compliance Services is a company that focuses on providing compliance services to investment advisers registered with the U.S. Securities & Exchange Commission. They are seeking a Marketing Compliance Associate to perform reviews and tests of marketing materials for compliance, maintain communication with the marketing compliance team, and support team efforts to meet deadlines.
AdviceAsset ManagementFinancial Services
Responsibilities
Utilizing client marketing review process, and rule requirement, checklists
Building knowledge of Marketing Rule and custom client marketing reviews
Maintaining communication with the Marketing Compliance Manager and the client account team with regard to marketing review:
Questions
Training on specific clients
Responsible for performing reviews and conducting tests of marketing materials for compliance with the Securities & Exchange Commission’s marketing rules and regulations
Establishing working relationships with internal compliance team colleagues and be comfortable corresponding in a professional manner with contacts at our investment adviser clients
Excellent communications skills and effective writer
Detail-oriented, accountable to other team members and comfortable with deadlines
Supporting team efforts to ensure adviser clients make deadlines
Ability to prioritize tasks, communicate internally and track progress in meeting internal deadlines
Qualification
Required
Undergraduate degree
Excellent client service and internal team coordination skills
Strong analytical, technical, and communication skills
Ability to collaborate closely with stakeholders from different disciplines, Fairview® colleagues, and within a team
Proficient Microsoft Excel skills
Must be willing to submit to a background check
Benefits
Health care
Dental
Vision
Life insurance
A 401(k) with a match
Generous paid time off
Company
Fairview LLC
Providing full-service, backend regulatory support services to investment advisers and other financial institutions through five distinct practice areas: • Compliance Administration: supports CCOs with the day-to-day operations and maintenance of compliance programs so that required records, filings, screenings, client setup and recording are current and readily available.
Founded in 2005
51-200 employees
Funding
Current Stage
Growth StageLeadership Team
Frank Watson
Founder
Company data provided by crunchbase