EDUCATION: LLB/BS/BA or equivalent and/or relevant compliance
EXPERIENCE: 2-4 years private equity or asset management compliance experience
ADDITIONAL SKILLS: Preferred Microsoft Office, Experience with Compliance Science/PTCC & Codrium preferred
MANAGEMENT OF STAFF: N/A
REPORTS TO: UK Legal & Compliance Officer
HarbourVest is an independent, global private markets investment specialist with more than 30 years of experience and $39 billion in assets under management. The Firm's powerful global platform offers clients investment opportunities through primary fund investments, secondary investments, and direct co-investments in co-mingled funds or separately managed accounts. HarbourVest has more than 300 employees, including 90 investment professionals, across Asia, Europe, and the Americas. This global team has committed more than $30 billion to newly-formed funds, completed over $13 billion in secondary purchases, and invested $5 billion directly in operating companies. Partnering with HarbourVest, clients have access to customized solutions, longstanding relationships, actionable insights, and proven results.
Reporting to the UK Legal & Compliance Officer, the UK Compliance Manager will assist, amongst other things, with the compliance of HarbourVest's two FCA regulated entities, the AIFMD compliance commingled fund programs and company secretarial services for the UK and Luxembourg entities.
Job Skills and Abilities
- Proven ability to build strong partnerships with colleagues, desire to learn quickly, be flexible and think strategically
- Works well individually and in teams, shares information, supports colleagues and encourages participation
- Proven ability to be able to multi task as well as assess and change priorities
- Strong understanding of FCA rules (some knowledge of SEC rules would be beneficial)
- Strong technical and process enhancement skills
- Excellent business writing and communication skills
- Strong analytical, problem solving and decision-making skills
- A high level of attention to detail and quality assurance
FCA and General Compliance
- Working with the UK Legal & Compliance Officer to continuously monitor the on-going compliance of HarbourVest's two FCA regulated entities (being an AIFM and a MiFID limited license firm). The work would include, amongst other things, monitoring day-to-day compliance, assisting with the annual compliance review, answering questions on the HarbourVest Code of Ethics, maintaining the calendar of HarbourVest's compliance obligations (etc)
- Contribute to the development, deployment and enforcement of global compliance policies and procedures based out of Boston
- Review marketing material, investor communications, RFPs and DDQs. HarbourVest's London office is the regional marketing hub for Europe, Middle East and Africa.
- Assisting with on-going compliance training requirements, including new joiner, annual and ad-hoc compliance training. Working towards being the presenter of this material.
- Working with the UK Legal & Compliance Officer to continuously monitor the on-going compliance for HarbourVest's AIFMD commingled fund programs
- Assist with the company secretarial duties for HarbourVest's regulated and unregulated entities based in the UK, Israel and Luxembourg with exposure to the senior management of HarbourVest. This would involve, amongst other things, attending Board and Committee meetings and taking minutes, liaison and co-ordination with third party Service Providers, and assisting with regular and ad-hoc filing obligations.
- Additionally, such other responsibilities as may be determined from time to time.