Compliance Officer

2 weeks ago

Chicago, United States Origin Harbor Capital Solutions Full time

SUMMARY
- Harbor Capital Advisors, Inc. (“Harbor Capital”) is an investment management firm headquartered in Chicago, Illinois. Harbor Capital’s mission is to _curate the most innovative active strategies and solutions from around the globe to inspire and empower people to invest better for the financial security they deserve._ We primarily utilize a manager-of-managers approach in managing the majority of our clients’ assets, but also have a multi-asset solutions team that manages certain client assets internally. We offer clients a full suite of product offerings, including mutual funds, exchanged traded funds (ETFs), collective investment trusts (CITs), and model portfolio solutions.
- The Legal and Compliance team is responsible for providing a full range of legal, regulatory, and compliance services and solutions to Harbor Capital and our subsidiaries. This position is on the Distribution Compliance team, which is one of the five subgroups around which the broader Legal and Compliance team is organized (the other four subgroups are: Investment Partner Oversight, Investment Management Compliance, Regulatory Compliance and Examinations, and Legal), and is responsible for supporting the distribution and marketing organizations within Harbor Capital. The primary focus of this role is the review of marketing and advertising materials, including social media. This role requires strong attention to detail, well developed organizational skills, and the ability to handle multiple tasks at the same time in a fast-paced organization.
- This is a hybrid work opportunity based in either our Chicago or Boston offices (2 days per week in office)._
- KEY RESPONSIBILITIES- Review marketing materials to ensure compliance with applicable regulatory requirements (e.g., FINRA, SEC, NFA, GIPS) and filing of materials with regulators as neededDraft new disclosure language as needed and maintain disclosures database-
- Assist in the management, development, and delivery of training materials-
- Work closely and collaboratively with the Marketing and Distribution teams on new initiatives, including social media campaigns-
- Assist with various compliance monitoring activities, including social media-
- Implement and enhance compliance policies, procedures, and processes as requested-
- Produce team reporting metrics-
- Assist with ad hoc projects as requested- KEY BEHAVIORAL EXPECTATIONS- Drives for Results-
- Creates Culture of Collaboration-
- Communication & Engagement-
- Unleashes Innovation-
- Strategic Thinking-
- Agility & Adaptability- MINIMUM QUALIFICATIONS- Bachelor’s Degree or equivalent required-
- A minimum of 5 years of compliance experience in a financial services firm or law firm, including advertising review experience concerning mutual funds, ETFs, and multi-asset products and solutions-
- SIE, Series 7, and Series 24 licenses required-
- Experience operating in a manager-of-managers structure would be a plus-
- Committed to maintaining the highest ethical standards- KNOWLEDGE, SKILLS & ABILITIES REQUIRED- Meticulous attention to detail-
- Proactive and independent self-starter with a positive, can-do attitude and the ability to follow through and complete tasks in a team environment-
- Experience with Red Oak or similar advertising review software-
- Technologically savvy with an intermediate command of Microsoft Excel-
- Ability to work individually and with other team members under pressure and prioritize competing tasks that require the highest level of attention to detail and accuracy-
- Cooperative attitude and strong interpersonal skills-
- Pride in producing excellent work product and meeting deadlines-
- Drive for continuous improvement and pursuit of challenging goals-
- Strong oral and written communication skills-
- Ability to prioritize and shift focus dependent upon the need of the department to support teamwork-
- An interest in a compliance career path within the financial services industry and understanding of the laws that govern its activities, including the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934, the Commodity Exchange Act, and FINRA rules and regulations- Harbor Capital Advisors, Inc. is an equal opportunity employer committed to a diverse workforce. M/F/D/V

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