Compliance Investigation Manager jobs in Durham, NC

Description

Company Description

ViewPoint Partners and its affiliates, including Fairview Compliance Services, were founded with a mission of providing outstanding customer service to advisory firms. Growing money management firms generally struggle with handling the operational challenges of many new accounts and different types of relationships. A service company invested heavily in technology and operations expertise can be the perfect complement to advisers who want to stay focused on their primary objective, managing money.

The Compliance Associate is a member of the client account team. The Compliance Associate must establish a working relationship with internal compliance team colleagues and be comfortable corresponding in a professional manner with contacts at our investment adviser clients to coordinate recordkeeping, distribute certifications and make other data requests. Perform data entry. 

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

Qualifications

• Bachelor’s degree.
• 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).
• Will train new grads.

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. 

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.