Career Opportunities

Contacting Human Resources

Harbor Capital Advisors, Inc.
Attn: Human Resource Team
111 South Wacker Drive, 34th Floor
Chicago, IL 60606
Phone: 312-443-4400
Fax: 312-443-4135

TA Risk & Compliance Specialist

The TA Risk & Compliance Team is responsible for verifying the identity of new shareholders. The team also monitors for matches of shareholders to worldwide government watch lists of known drug dealers, terrorists, and criminals. In addition, suspicious account activity such as anti-money laundering, market timing, account take over, and fraud are monitored. This position performs the daily, weekly, and quarterly tasks of the TA Risk & Compliance Team. A TA Risk & Compliance Specialist assists with all team needs and conducts research on potential, new, existing, and lost shareholders. This position also coordinates audits and procedure testing. The team member will lead reviews and update and maintain HSG policy, procedure, legal, and practice manuals.


Key Responsibilities

  • Coordinate Quarterly AML Certification Meeting
  • Assist with annual AML audit preparation
  • Coordinate, review and update of High Level Transfer Agency Policies and Procedures Manual
  • Ongoing review and administration of department policies and procedures
  • Work with team members to complete daily, weekly, monthly, quarterly and annual workflows supporting 22c-2, Market Timing, Suspicious Activity, CIP and Principle review 
  • Identify and research suspicious persons/shareholders and their activities/transactions
  • Report/provide documentation to AMLCO suspicious persons/items
  • Support internal and external legal counsel as needed on suspicious persons/items
  • Prepare Suspicious Activity Reports (SARs) as directed by Harbor Capital and Harbor Services Group AML Officers
  • Review and research large trade notifications, transaction downloads, and other various reports and report findings to management
  • Follow management instructions and procedures for contacting, placing on watch list, or banning shareholders
  • Ongoing review of industry regulatory sites for HSG notification and service model integration
  • Prepare monthly market timing reports for Executive Team review and approval
  • Ensure Escheatment process is appropriately administered
  • Work within a team to support quarterly internal controls transfer agency operation audits
  • Work within a team to support monthly Relationship Management Program
  • Other duties as assigned

Minimum Qualifications

  • 2-4 years of financial services industry experience
  • Certified Anti-Money Laundering Specialist (CAMS) Certification recommended
  • Experience in business writing and/or customer services preferred
  • FINRA Series 6 within eight (8) months, Series 63 within eleven (11) months of hire and Series 26 within a reasonable time to be determined.

Knowledge, Skills & Abilities Required

  • Ability to make good judgments on escalation of items
  • Experience with internet search engines and internet investigation techniques
  • Initiative to take on additional responsibilities when needed
  • Knowledge of the company's business and industry
  • Leadership and presentation skills
  • Skills to analyze reports/data to reach reasonable conclusions on shareholder identity and transactions
  • Knowledge of USA Patriot Act, Anti-Money Laundering regulations, privacy laws, and fraud trends
  • Experience with Microsoft Office (Outlook, Word, Excel, PowerPoint, SharePoint, etc..)
  • Phone skills for handling shareholders, relatives of lost shareholders, banks, suspicious individuals

Harbor Capital Advisors, Inc. is an equal opportunity employer committed to a diverse workforce. M/F/D/V

Working at Harbor Capital Advisors

What is working at Harbor Capital Advisors all about?  What can we offer that makes us a unique employer in the investment management industry? What type of career opportunities exist?
  • Working at Harbor means we expect you to put 100% of your effort toward supporting our shareholders. We believe the best interests of our shareholders always come first.
  • A career at Harbor means that you have the opportunity for broad exposure to multiple aspects of our business. Your access to both senior managers and colleagues across the company can provide rewarding work assignments and learning opportunities.
  • We offer the best advantages and efficiencies of a smaller company while providing the resources of a larger one. At Harbor, if you can identify ways to improve the business, you'll often be given the opportunity and resources to implement them.
  • Central to Harbor's past and future successes is integrity – our most important principle.
  • We hire talented people with an excellent work ethic; we pay fairly and we reward achievement.

Whether you are beginning your career in the investment management industry or are looking to continue your development and reach new goals, you should strongly consider the opportunities at Harbor.

We offer the following comprehensive benefits and programs:

  • A competitive compensation program that recognizes individual performance and contributions
  • Comprehensive medical (PPO and HMO), dental and vision options effective on date of hire
  • Short-Term and Long-Term Disability insurance coverage
  • 401(k) Plan with dollar-for-dollar match up to 4% of base salary; we will also contribute 50 cents for each dollar contributed between 4% and 6% of eligible pay. If you contribute at least 6% of pay, Harbor will make a matching contribution equal to 5% of eligible earnings. Immediate vesting in your own contributions, and the employer matching contributions.
  • Retirement contributions of 5% of eligible pay. If your employment terminates prior to completing one year of service, retirement contribution amounts made to your 401(k) account will be forfeited.
  • Medical and Dependent Care Flexible Spending Accounts
  • Group Life insurance in an amount equal to twice your annual base salary up to maximum of $500,000; In addition, Optional Life and AD&D insurance are available for purchase
  • Paid vacation days
  • Nine or ten paid holidays, annually
  • Three personal days, annually
  • Commuter Benefits Program for flex transit and parking
  • Employee Assistance Program
  • Educational Expense Reimbursement Program
  • Easy access to public transportation
  • Building amenities include parking garage with available car wash services, on-site restaurant, health club facilities and complimentary concierge and bike storage

We think you will find our central loop location convenient, offering an easy walk to public transportation. Our building is the first certified LEED all-business structure to be built in Chicago.