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Compliance Assistant (606)

Chicago, IL

Investment management firm looking for Compliance Assistant responsible for developing and maintaining the compliance programs of the firm and its subsidiaries. The Compliance Assistant will be responsible for supporting a range of projects across the Legal and Compliance Team.

RESPONSIBILITIES:

Assist with saving subadviser due diligence records and records related to regulatory filings to firm’s document management system

Assist with document gathering requests, including for regulatory examination requests

Assist with compliance monitoring and forensic testing of various compliance related activities

Support the production of the materials for the Harbor Funds shareholder reports (Annual, Semi-Annual), including updating content and publishing documents in ArcPro

Proofing documents to ensure proper grammar, spelling, syntax and style

Support the administration of firm’s code of ethics and various compliance monitoring activities

Assisting with the maintenance of Harbor Funds’ foreign market trading registrations, including learning the requirements of various foreign markets and supporting the opening of new accounts and the renewing of expiring registrations o Assisting with the maintenance of powers of attorney for proxy voting in applicable foreign markets

REQUIREMENTS:

Bachelor’s Degree or equivalent

Independent, self-starter with a positive, can-do attitude and the ability to follow through and complete tasks in a team environment

Ability to work individually and with other team members under pressure and prioritize competing tasks that require the highest level of attention to detail and accuracy

Must demonstrate a cooperative attitude and strong interpersonal skills

Strong oral and written communication skills

Ability to shift focus dependent upon the need of the department to support teamwork Advanced proficiency with Microsoft Word, Excel and Outlook and skilled generally with learning and administering technological applications

An interest in a compliance career path within the financial services industry and understanding of the laws that govern its activities, including the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933, and the Securities Exchange Act of 1934