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 $600 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.
On September 14, 2026, the SEC Division of Examinations published a Risk Alert on observations of investment advisers’ annual compliance reviews. Although registered investment advisers have had to conduct annual compliance reviews for over twenty years, the SEC observed a number of deficiencies that investment advisers should consider as they complete these reviews.
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