Job Description Summary
For over forty years, HarbourVest has been home to a committed team of professionals with an entrepreneurial spirit and a desire to deliver impactful solutions to our clients and investing partners. As our global firm grows, we continue to add individuals who seek a collaborative, open-door culture that values diversity and innovative thinking.
In our collegial environment that’s marked by low turnover and high energy, you’ll be inspired to grow and thrive. Here, you will be encouraged to build on your strengths and acquire new skills and experiences.
We are committed to fostering an environment of inclusion that promotes mutual respect among all employees. Understanding and valuing these differences optimizes the potential of both the individual and the firm.
HarbourVest is an equal opportunity employer.
This position will be a hybrid work arrangement, which translates to 2-3 days minimum per week in the office.
Reporting to the Senior Compliance Manager, the Senior Associate will assist with HarbourVest’s global compliance program, with particular emphasis on supporting HarbourVest’s marketing review process.
The ideal candidate is someone who is:
- Pro-active, upbeat, self-assured professional with high personal integrity and ability to develop good interpersonal relationships with others
- Collaborative and supportive team member
- Ability to work both independently and as part of a team
- Passion for the mission of the company and for its diverse and inclusive culture
What you will do:
- Reviewing marketing materials, website reviews, investor communications, RFP/RFIs and DDQs
- Assist in the development, deployment and enforcement of vital policies and procedures
- Proactively document and evaluate controls maintained by the Firm and identify enhancement opportunities
- Identify risk-based review objectives, scope and testing strategies to assess adequacy and effectiveness of compliance program policies and controls
- 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
- Review rule proposals, amendments and regulatory developments and work with CCO and global Compliance Officers to interpret impact on business function and implement updated processes
- And other responsibilities as required
What you bring:
- 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
- Ability to review relevant materials for compliance with the SEC Marketing Rule and FINRA Communication Rules
- Can comprehend and effectively communicate technical regulatory requirements to others
- Self-motivated, with strong organizational and time management skills
- Ability to handle and prioritize multiple tasks in a time-sensitive environment
- Considerable personal experience communicating, interacting, and establishing effective links with professionals, including executive management, sometimes in difficult situations
- Understands the necessity to adequately document all work and is diligent
- A strategic problem solver with a cross-functional point of view, who can implement ideas
Education
- Bachelor of Arts (B.A) or equivalent experience, preferably with a concentration in law, business, finance or accounting
Experience
- A minimum 5+ years of experience in compliance roles within an investment adviser organization
#LI-Hybrid
What We Do
HarbourVest is an independent, global private markets firm with 40 years of experience and more than $92 billion assets under management as of December 31, 2021. Our interwoven platform provides clients access to global primary funds, secondary transactions, direct co-investments, real assets and infrastructure, and private credit.
