Compliance Manager

3 weeks ago

Boston, United States HarbourVest Partners LLC. Full time

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 Head of Monitoring, Testing and Controls, the Compliance Manager - Monitoring, Testing and Controls ("Compliance Manager") is responsible for supporting the compliance monitoring, testing and controls program ("Testing Program") and other governance support functions critical to the firm. The Compliance Manager will partner with the Head of Monitoring, Testing and Controls to (i) further develop and implement the firm's Surveillance and Testing Program, including electronic communications and trade oversight; (ii) coordinate the global compliance training program; (iii) expand the firm's regulatory books and records program; and (iv) collaborate with other compliance and cross-division teams to support regulatory management, vendor oversight, and client services. The Compliance Manager will work with senior management of both operational and investment related functions throughout the firm to help those functions become more effective as first lines of defense, and to develop more efficient and scalable ways for Compliance to serve them.

The ideal candidate is someone who is:

* Knowledgeable about the regulatory framework and obligations applicable to private fund investment advisers as well as registered investment companies
* Familiar with the business and administrative services provided by investment advisers and compliance support for such services
* Experienced in one or more of the following: risk assessments, surveillance, and controls testing
* Pro-active and energetic with the ability to work independently and a focus on execution

What you will do:

* Manage and coordinate the compliance monitoring, testing and controls program which will include surveillance and testing across a number of areas such as electronic communications, firm trading, and Environmental, Social and Governance.
* Support the development and implementation of the compliance risk assessment and global training programs
* Assist the Head of Monitoring, Testing and Controls in the expansion of the firm's regulatory books and records management program
* Partner with the Regulatory Management Team in supporting various regulatory filings, as well as drafting the 206(4)-7/38a-1 Annual Compliance Reports
* Collaborate globally with colleagues in APAC and EMEA to support related compliance services being provided in those regions, and to ensure understanding and applicability of global compliance standards
* Address, and triage as appropriate, client service requests for prospective and existing clients

What you bring:

* Broad understanding of regulatory framework and obligations applicable to private fund investment advisers as well as registered investment companies
* Subject area expertise in relevant regulatory topics, and the ability to quickly become proficient in emerging regulatory changes
* Superior analytical and organizational skills, and attention to detail
* Excellent communication (both oral and written) and escalation skills.
* Proven ability to manage multiple and often competing priorities, adept at problem solving, identifying creative solutions, driving to decisions, and deliver results consistently.
* Intellectual curiosity and the ability to work both independently and as part of a team.

Education Preferred

* Bachelor's degree, preferably with a concentration in law, business, finance, accounting or an adjacent field
* Masters degree in a related field or law degree a plus

Experience

* 5-8 Years in compliance roles within the private equity sector or an SEC Registered Investment Adviser preferred or equivalent experience with a regulatory body, law firm, or compliance consultant.

#LI-Hybrid

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