Compliance Senior Associate, Marketing Compliance

Job Description Summary

Interested in this role You can find all the relevant information in the description below.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 othersCollaborative and supportive team memberAbility to work both independently and as part of a teamPassion for the mission of the company and for its diverse and inclusive cultureWhat you will do:Reviewing marketing materials, website reviews, investor communications, RFP/RFIs and DDQsAssist in the development, deployment and enforcement of vital policies and proceduresProactively document and evaluate controls maintained by the Firm and identify enhancement opportunitiesIdentify risk-based review objectives, scope and testing strategies to assess adequacy and effectiveness of compliance program policies and controlsAssist with the development of targeted training content and the delivery of training to employees, including support of automated training toolsMonitor compliance with Fund/SMA obligationsReview rule proposals, amendments and regulatory developments and work with CCO and global Compliance Officers to interpret impact on business function and implement updated processesAnd other responsibilities as requiredWhat 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 RulesAbility to review relevant materials for compliance with the SEC Marketing Rule and FINRA Communication RulesCan comprehend and effectively communicate technical regulatory requirements to othersSelf-motivated, with strong organizational and time management skillsAbility to handle and prioritize multiple tasks in a time-sensitive environmentConsiderable personal experience communicating, interacting, and establishing effective links with professionals, including executive management, sometimes in difficult situationsUnderstands the necessity to adequately document all work and is diligentA strategic problem solver with a cross-functional point of view, who can implement ideasEducation:Bachelor of Arts (B.A) or equivalent experience, preferably with a concentration in law, business, finance or accountingExperience:A minimum 5+ years of experience in compliance roles within an investment adviser organization#LI-Hybrid

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