Ellen Harvin joined Fairview in 2005. Today, her primary focus is leading Fairview Compliance Administration, which provides compliance services to more than 160 advisers and other financial firms, exceeding $370 billion in collective assets. In this capacity, she oversees the delivery of premium service to a wide range of clients including launching and maintaining compliance programs, conducting compliance training, monitoring, and testing policies and procedures, and coordinating client responses to SEC regulatory exams.

Ellen has worked in financial services since 2004. Prior to that, she worked as a vice president in account management at a full-service marketing and advertising firm, where she developed her expertise in account management that laid the foundation to build the client service model that Fairview still uses today.

Education & Training

• B.A. in Political Science from the University of California, Los Angeles

Areas of Expertise

• Compliance for registered investment advisers
• Compliance with Investment Advisers Act rules
• Compliance with Investment Company Act rules
• Compliance program formation and implementation
• Compliance training
• Regulatory audits