Senior Compliance Associate

Nichols College; Dudley; Hybrid; GBP 50,000 - 80,000; Full time

Job summary

An established industry player is seeking a Senior Associate to support their global Compliance program. This exciting role involves working collaboratively in a hybrid environment, where you will help assess and enhance compliance policies and controls. The ideal candidate will have a strong background in compliance and regulatory knowledge, with excellent interpersonal skills to foster relationships across teams. Join a forward-thinking firm that values diversity and innovation, and contribute to a culture of inclusion while making a significant impact in the financial services sector.

Qualifications

• 5+ years in compliance, legal, or audit roles within financial services.
• Strong understanding of securities laws and regulations.

Responsibilities

• Support Compliance testing program and identify review objectives.
• Assist in drafting Compliance responses to client service requests.
• Monitor compliance with Fund/SMA obligations.

Skills

Compliance Testing

Risk Assessment

Interpersonal Skills

Regulatory Knowledge

Problem Solving

Organizational Skills

Education

Bachelor of Arts (B.A) in Law, Business, Finance or Accounting

Job description

and the job listing Expires on July 15, 2025

Full-Time Job Accounting, Data Analytics, Economics & Finance

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 Head of Monitoring, Testing and Controls, the Senior Associate will assist with HarbourVest’s global Compliance program, with particular emphasis on supporting HarbourVest’s Core Compliance team.

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 others
• Familiar with the business and administrative services provided by investment advisers and compliance support for such services
• Collaborative and supportive team member
• Ability to work both independently and as part of a team with a focus on execution!
• Passion for the mission of the company and for its diverse and inclusive culture

What you will do:

• Support Compliance testing program by identifying risk-based review objectives, scope and testing strategies to assess adequacy and effectiveness of compliance program policies and controls.
• Assist in drafting and reviewing Compliance responses to due diligence, RFP, and client service requests.
• Proactively document and evaluate controls maintained by the Firm and identify enhancement opportunities.
• Conduct surveillance activities, including coordination with external service providers.
• Coordinate the compilation of Compliance quarterly and annual metrics.
• Lead the drafting of the annual Compliance 206(4)-7 and 38a-1 annual reviews.
• Assist in the development, deployment and updating of Compliance policies and procedures
• Oversee the global Compliance training program calendar, 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
• Support the development and implementation of the regulatory exam readiness program.
• And other responsibilities as required.

What you bring:

• General 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
• Can comprehend and effectively communicate technical regulatory requirements to others
• Self-motivated, with strong organizational and time management skills
• Proven ability to manage multiple and often competing priorities, adept at problem solving, identifying creative solutions, driving to decisions, and deliver results consistently.
• Considerable personal experience communicating, interacting, and establishing effective relationships with professionals, including executive management, sometimes in difficult situations
• Understands the necessity to adequately document all work and is diligent

Education Preferred

• Bachelor of Arts (B.A) or equivalent experience, preferably with a concentration in law, business, finance or accounting

Experience

• A minimum 5+ years of experience in compliance, legal, or audit roles within financial services, preferably in an investment adviser organization