Compliance Senior Associate, Marketing Compliance
4 weeks ago
HarbourVest Partners, LLC is seeking a skilled Senior Associate to support its global compliance program, with a focus on marketing review. As a key member of the compliance team, you will assist in developing, deploying, and enforcing vital policies and procedures. Your expertise will be essential in reviewing marketing materials, website reviews, investor communications, RFP/RFIs, and DDQs to ensure compliance with securities laws and regulations.
Key Responsibilities
- Review marketing materials, website reviews, investor communications, RFP/RFIs, and DDQs for compliance with securities laws and regulations.
- 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.
Requirements
- 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 and Experience
- 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 roles within an investment adviser organization.
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