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

Compliance Associate

The Compliance Associate position is primarily responsible for Harbor Funds' SEC regulatory filings; monitoring employee personal trading and administration of the Harbor Capital Code of Ethics; oversight and administration of adviser, subadviser and other compliance matters; managing Harbor Funds' foreign market registrations; maintaining hard copy and electronic records pursuant to applicable requirements; and participating in various projects, as assigned.  This position is based in Chicago.


Key Responsibilities

Regulatory Filings

  • Member of a team responsible for preparation of Harbor Funds' SEC regulatory filings, such as annual and semiannual reports and Forms N-SAR, N-CSR, N-Q, N-MFP and 24f-2, including:
    • Reviewing and/or preparing filing-specific timelines and responsibility matrices;
    • Reviewing drafts in light of various rules and regulations and providing comments;
    • Drafting disclosure; and
    • Resolving comments from internal and external parties and regulators
  • Draft and/or review desktop procedures for the above filings and oversee on-going maintenance
  • Monitor employee personal trading pursuant to the Harbor Capital Code of Ethics, including administration of the automated personal trade reporting system
  • Prepare and review monthly subadviser questionnaires and other information requests
  • Perform stress testing and compliance responsibilities related to Harbor Money Market Fund, including daily review of collateral for repurchase agreements and days to maturity and weekly review of money market deviation report
  • Monitor employee emails and website use for compliance with Harbor Capital's data protection policy
  • Assist in oversight and monitoring of content on Harbor Funds' website
  • Follow and/or apply Harbor Funds and Harbor Capital policies and procedures and assist with periodic updates and drafting of new policies and procedures
Records Retention and Maintenance
  • Understand securities laws related to records retention and follow departmental procedures related to the maintenance of hardcopy and electronic records for all assigned duties
  • Assist with document requests, including regulatory examination requests
Foreign Registrations
  • Maintain Harbor Funds' foreign market trading registrations, including understanding the requirements of various foreign markets, opening new accounts and renewing expiring registrations
  • Maintain powers of attorney for proxy voting in applicable foreign markets
Industry and Technical Competency
  • Understand rules and regulations under the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934 and other related securities and corporate law and apply to the business and operations of Harbor Funds, Harbor Capital and its subsidiaries
  • Review industry publications, attend conferences and remain apprised of developments in SEC rules and regulations and other related securities and corporate law
  • Maintain technological skills necessary to perform all assigned duties and effectively utilize related software systems
  • Seek opportunities to further develop technological skills or source new technology solutions
Team and Cross-Team Projects
  • Participate in intra-departmental and cross-company projects

Other duties as assigned.

Minimum Qualifications

  • Bachelor's Degree or equivalent
  • Three or more years of experience as a compliance administrator/analyst or 1940 Act mutual fund paralegal (or similar position) in a financial services firm or law firm
  • Committed to maintaining the highest ethical standards

Knowledge, Skills & Abilities Required

The ideal candidate will be an intelligent, energetic and goal-oriented, conceptual thinker with the ability to quickly assess a situation and exercise sound business judgment and will possess the following attributes:

  • 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
  • Responsible for coordinating complex projects with multiple internal and external parties; therefore, candidate must demonstrate a cooperative attitude and exceptional interpersonal and consensus building skills
  • Ability to establish productive working relationships with team members, other Harbor Capital teams, external counsel, service providers, Trustees and regulators
  • Responsible for managing diverse and complex projects according to timelines that the candidate will create and monitor; therefore, strong project and time management skills are a must
  • Demonstrates drive for continuous improvement and pursuit of challenging goals
  • Excellent oral and written communication skills are required
  • Advanced proficiency with Microsoft Word, Excel and Outlook and skilled generally with learning and administering technological applications
  • An interest in the mutual fund 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 is desired
  • Experience with SEC regulatory filings is preferred

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.