Senior Associate – Compliance
| Company | HarbourVest |
|---|---|
| Location | Boston, MA, USA |
| Salary | $Not Provided – $Not Provided |
| Type | Full-Time |
| Degrees | |
| Experience Level | Senior |
Requirements
- General understanding of securities laws, rules and regulations applicable to registered investment advisers, private fund offerings and registered investment companies, including the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Act of 1933, Regulation D, the SEC Marketing Rule and the FINRA Communication Rules
- Can comprehend and effectively communicate technical regulatory requirements to others
- Self-motivated, with strong organizational and time management skills
- Proven ability to manage multiple and often competing priorities, adept at problem solving, identifying creative solutions, driving to decisions, and deliver results consistently
- Considerable personal experience communicating, interacting, and establishing effective relationships with professionals, including executive management, sometimes in difficult situations
- Understands the necessity to adequately document all work and is diligent
Responsibilities
- Support Compliance testing program by identifying risk-based review objectives, scope and testing strategies to assess adequacy and effectiveness of compliance program policies and controls
- Assist in drafting and reviewing Compliance responses to due diligence, RFP, and client service requests
- Proactively document and evaluate controls maintained by the Firm and identify enhancement opportunities
- Conduct surveillance activities, including coordination with external service providers
- Coordinate the compilation of Compliance quarterly and annual metrics
- Lead the drafting of the annual Compliance 206(4)-7 and 38a-1 annual reviews
- Assist in the development, deployment and updating of Compliance policies and procedures
- Oversee the global Compliance training program calendar, assist with the development of targeted training content and the delivery of training to employees, including support of automated training tools
- Monitor compliance with Fund/SMA obligations
- Support the development and implementation of the regulatory exam readiness program
- And other responsibilities as required
Preferred Qualifications
- Bachelor of Arts (B.A) or equivalent experience, preferably with a concentration in law, business, finance or accounting
- A minimum 5+ years of experience in compliance, legal, or audit roles within financial services, preferably in an investment adviser organization