The Legal and Compliance Team is responsible for providing a full range of legal, regulatory and compliance services and solutions to the company and their subsidiaries. While the primary focus of this role involves the oversight of our business partners including subadvisers and index/model providers, the right candidate will drive to improve the related compliance processes and will serve as a trusted partner with the business as Harbor expands in new and innovative ways. This role requires significant hands-on work. A successful candidate will need to demonstrate strong attention to detail, well-developed organizational skills, and the ability to handle multiple tasks at the same time in a fast-paced and increasingly complex organization. This position can be based in Boston, Chicago or fully remote. Remote employees would be expected to travel to our Chicago or Boston offices from time-to-time. This person will perform substantive review and cross-monitoring of subadvisers’ and model/index providers’ monthly, quarterly and annual questionnaires and related materials, including policies and procedures and internal control reports. Daily work on web-based platform to update tracking logs, monitor information received and run reports. Collaborate with teammates and/or request additional information from subadvisers/model/index provider contacts when appropriate. Assist in drafting comprehensive due diligence reports and PowerPoint presentations covering subadviser/model/index provider inspections. Strong academic credentials. Bachelor’s Degree or higher required. 5-7 years of experience working with the Investment Advisers Act of 1940 and/or Investment Company Act of 1940 in a financial services firm, compliance consulting firm or law firm required. Salary commensurate with experience.
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