Ellen Harvin joined Fairview® in 2005. Today she oversees Fairview’s investment adviser compliance services.
Her primary focus is leading Fairview Compliance Administration, which provides compliance services to more than 160 advisers and other financial firms who have more than $300 billion in collective assets. In this capacity, she oversees the delivery of premium client 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.
Education & Training
- B.A. in Political Science from the University of California, Los Angeles
- Has worked in financial services since 2004
Areas of Expertise
- Compliance for registered investment advisers
- Compliance program formation and implementation
- Compliance training
- Regulatory audit support
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