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
  • Preparation of Harbor Funds' SEC regulatory filings, such as initial filings and annual updates to the registration statement on Form N-1A, registration statement supplements, annual and semi-annual reports, Forms N-SAR, N-CSR, N-Q, N-MFP, 24f-2, N-PORT, N-CEN and N-PX
  • Preparation and filing of Harbor Capital's Forms ADV and PF with the SEC
  • Preparation and filing of quarterly and annual filings with the NFA and the CFTC
  • Assist as necessary with Harbor Funds' proxy and information statements
  • Assist with new fund launches, the addition of new subadvisers and fund closings
Foreign Registrations
  • Monitor and maintain foreign market trading registrations for Harbor Capital's clients, including understanding the requirements of various foreign markets, opening new accounts and renewing expiring registrations
  • Monitor and file necessary reports for ownership of foreign securities where Harbor Funds' ownership exceeds the applicable country ownership thresholds
  • 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

Minimum Qualifications

  • Bachelor's Degree or equivalent
  • Two or more years of experience as a compliance professional or 1940 Act mutual fund paralegal (or similar position) in a financial services firm or law firm and focusing on mutual fund administration
  • Committed to maintaining the highest ethical standards

Knowledge, Skills & Abilities Required

The ideal candidate will possess the following attributes:

  • Intelligent and team oriented with a positive attitude and a strong attention to detail
  • 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
  • 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
  • Ability to shift focus dependent upon the need of the department to support teamwork
  • Experience with SEC mutual fund regulatory filings

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
  • Retirement contributions to your 401(k) account equal to 6% of your eligible pay each pay period. In addition to retirement contributions, Harbor will make matching contributions to your 401(k) account. The company will match dollar for dollar your contribution (whether pre-tax or Roth), up to 6% of your eligible pay
  • 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 and personal days
  • Nine or ten paid holidays, annually  
  • Commuter Benefits Program for qualified transit and parking expenses
  • Employee Assistance Program
  • Educational Expense Reimbursement Program
  • Student Loan Repayment Contributions
  • Corporate membership for Chicago's bicycle sharing program
  • Fitness Program Subsidy
  • 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.