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This title can range from Junior Counsel to Counsel depending on experience level.
Summary
Harbor Capital Advisors, Inc. (“Harbor Capital”) is an investment management firm headquartered in Chicago, Illinois with approximately $64 billion in assets under management as of November 12, 2024. Harbor Capital’s mission is to curate the most innovative active strategies and solutions from around the globe to inspire and empower people to invest better for the financial security they deserve. We primarily utilize a manager-of-managers approach in managing client assets but also have a multi-asset solutions team that manages client assets internally. We offer clients a full suite of product offerings, including mutual funds, exchange-traded funds (ETFs), collective investment trusts (CITs) and model portfolio solutions.
Harbor Capital maintains and staffs Harbor Trust Company, a subsidiary and non-depository trust company that serves as trustee to Harbor CITs; Harbor Funds Distributors, a subsidiary and the principal underwriter for distributing shares of Harbor mutual funds and CITs; and Harbor Services Group, a subsidiary and internal transfer agent for maintaining the accounts of the shareholders of Harbor mutual funds and CITs. More information about Harbor Capital can be found at harborcapital.com.
We are seeking a self-motivated, results-oriented Junior Counsel to assist in providing legal advice to internal clients of the firm and to provide support to the broader Legal & Compliance Team. As a member of the Legal & Compliance Team, the Junior Counsel will advise the firm’s business professionals on a broad range of investment management, mutual fund, ETF and CIT legal and regulatory compliance work. The Junior Counsel will assist with the preparation of SEC filings including the annual update of fund registration statements and prospectus supplement filings. The Junior Counsel will also assist with the preparation of board meeting materials for the Harbor funds’ Board of Trustees and Harbor Trust Company Board of Directors meetings. The Junior Counsel also would be expected to provide support in other areas, including reviewing and negotiating a wide range of contracts and agreements, providing legal review of regulatory filings, and conducting legal research on diverse issues ranging from the applicability of new regulations to shareholder matters. Training and mentorship will be provided.
This position can be based in Chicago or Boston. We follow a hybrid schedule working in-office two days a week.
Key Responsibilities
Assist with the preparation of materials for board meetings including minutes
Provide support in drafting and reviewing Harbor Funds’, Harbor Funds II’s, and Harbor ETF Trust’s SEC regulatory filings, such as initial filings and annual updates to the registration statement on Form N-1A, registration statement supplements, business combinations on Form N-14, and information statements
Provide legal support, as needed, with respect to Harbor Capital’s Forms ADV and PF with the SEC, quarterly and annual filings with the NFA and the CFTC, and Harbor Funds Distributors’ FINRA filings
Review, negotiate and draft of a wide range of contracts, including investment management agreements, intermediary and trading agreements for the various products, and general business contracts
Conduct legal research on a diverse range of issues including new regulations
Participate in cross-company projects as necessary
Key Behavioral Expectations
Drives for Results
Creates Culture of Collaboration
Communication & Engagement
Agility & Adaptability
Minimum Qualifications
Licensed attorney with law degree from a national law school and strong academic credentials
1 - 6 years of experience with the Investment Company Act of 1940 and Investment Advisers Act of 1940 with a major law firm or in-house with a mutual fund company
Committed to maintaining the highest ethical standards
Experience with ETFs and/or operating in a manager-of-managers structure is a plus
Knowledge, Skills & Abilities Required
The ideal candidate will be an intelligent, energetic, goal-oriented, conceptual thinker with the ability to quickly assess a situation and exercise sound business judgment and will possess the following attributes:
Prior experience in the investment management industry and knowledge of the regulations that govern its activities, including the Investment Company Act of 1940, the Investment Advisers Act of 1940, and the Securities Act of 1933
Excellent interpersonal and communications skills; must be able to interact with business professionals and address issues in a thoughtful and timely manner
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
Proficiency with learning and administering technological applications; prior experience with DFIN’s ArcPro system is a plus
Ability to shift focus dependent upon the need of the department to support teamwork
