Investment Management Counselor
5 days ago
This role has the potential to develop from Investment Management Counselor to Counsel, depending on experience level.
Harbor Capital Advisors, Inc. (Harbor Capital) is a leading investment management firm based in Chicago, Illinois, with approximately $64 billion in assets under management. The company's mission is to curate innovative active strategies and solutions from around the globe to empower people to invest better for their financial security. Harbor Capital primarily utilizes a manager-of-managers approach to manage client assets but also has a multi-asset solutions team that manages client assets internally. The company offers clients a full suite of product offerings, including mutual funds, exchange-traded funds (ETFs), collective investment trusts (CITs), and model portfolio solutions.
Harbor Capital maintains and staffs Harbor Trust Company, a subsidiary and non-depository trust company that serves as trustee to Harbor CITs; Harbor Funds Distributors, a subsidiary and the principal underwriter for distributing shares of Harbor mutual funds and CITs; and Harbor Services Group, a subsidiary and internal transfer agent for maintaining the accounts of the shareholders of Harbor mutual funds and CITs. More information about Harbor Capital can be found at harborcapital.com.
We are seeking a self-motivated, results-oriented Investment Management Counselor to assist in providing legal advice to internal clients of the firm and to provide support to the broader Legal & Compliance Team. As a member of the Legal & Compliance Team, the Investment Management Counselor will advise the firm's business professionals on a broad range of investment management, mutual fund, ETF, and CIT legal and regulatory compliance work. The Investment Management Counselor will assist with the preparation of SEC filings, including the annual update of fund registration statements and prospectus supplement filings. The Investment Management Counselor will also assist with the preparation of board meeting materials for the Harbor funds' Board of Trustees and Harbor Trust Company Board of Directors meetings. The Investment Management Counselor may also provide support in other areas, including reviewing and negotiating a wide range of contracts and agreements, providing legal review of regulatory filings, and conducting legal research on diverse issues ranging from the applicability of new regulations to shareholder matters. Training and mentorship will be provided.
This position can be based in Chicago or Boston. We follow a hybrid schedule working in-office two days a week.
Key Responsibilities:- Assist with the preparation of materials for board meetings, including minutes
- Provide support in drafting and reviewing Harbor Funds', Harbor Funds II's, and Harbor ETF Trust's SEC regulatory filings, such as initial filings and annual updates to the registration statement on Form N-1A, registration statement supplements, business combinations on Form N-14, and information statements
- Provide legal support, as needed, with respect to Harbor Capital's Forms ADV and PF with the SEC, quarterly and annual filings with the NFA and the CFTC, and Harbor Funds Distributors' FINRA filings
- Review, negotiate, and draft a wide range of contracts, including investment management agreements, intermediary and trading agreements for the various products, and general business contracts
- Conduct legal research on a diverse range of issues, including new regulations
- Participate in cross-company projects as necessary
- Licensed attorney with a law degree from a national law school and strong academic credentials
- 1-6 years of experience with the Investment Company Act of 1940 and Investment Advisers Act of 1940 with a major law firm or in-house with a mutual fund company
- Committed to maintaining the highest ethical standards
- Experience with ETFs and/or operating in a manager-of-managers structure is a plus
The ideal candidate will be an intelligent, energetic, goal-oriented conceptual thinker with the ability to quickly assess a situation and exercise sound business judgment. They will possess excellent interpersonal and communications skills, be able to interact with business professionals, and address issues in a thoughtful and timely manner. The ideal candidate will also have prior experience in the investment management industry and knowledge of the regulations that govern its activities, including the Investment Company Act of 1940, the Investment Advisers Act of 1940, and the Securities Act of 1933.
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