Senior Associate, Private Wealth Compliance

HarbourVest Inc

Base: $93,000.00 - $131,000.00; bonus: eligible fo...
Hybrid
5+ years compliance experience in investment adviser
Knowledge of investment advisers act of 1940
Experience with finra registered representatives
The role involves coordinating timely regulatory submissions and maintaining a calendar of periodic reports for private wealth vehicles

Job Summary

  • The role involves coordinating timely regulatory submissions and maintaining a calendar of periodic reports for private wealth vehicles.
  • Candidates must possess a deep understanding of securities laws including the Investment Company Act of 1940 and FINRA rules.
  • The position offers a hybrid work arrangement with 18 remote workdays per quarter and eligibility for a discretionary annual bonus.

Matching Summary

The role involves coordinating timely regulatory submissions and maintaining a calendar of periodic reports for private wealth vehicles.

Salary

Base: $93,000.00 - $131,000.00; Bonus: Eligible for discretionary annual bonus based on performance; Benefits: Comprehensive total rewards package including retirement, health, insurance, and paid time off

Skills & Requirements

Must-have

  • 5+ years compliance experience in investment adviser
  • Knowledge of Investment Advisers Act of 1940
  • Experience with FINRA registered representatives
  • Ability to manage regulatory filing calendars
  • Understanding of Securities Exchange Act of 1934

Nice-to-have

  • Proactive and self-assured professional demeanor
  • Strong interpersonal relationship building skills
  • Strategic problem solver with cross-functional view
  • Passion for diverse and inclusive culture
  • High personal integrity and collaborative spirit

Key Requirements

  • Minimum 5+ years of compliance experience
  • Bachelor of Arts degree or equivalent experience
  • Concentration in law, business, finance, or accounting preferred

Work Rights

Not specified

Tailored Resume

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