​​Compliance Analyst​

At Harris, the true value of what makes us successful is found in our people. It is our unique mix of cultures, experiences, beliefs and backgrounds that sets Harris apart from the rest.  We constantly strive to cultivate, nurture and amplify an unparalleled environment, where we value intellectual curiosity and uniqueness of thought.  Inclusion is embedded in the very fabric of our culture of collaboration and openness.

We understand that a job description only tells one part of a broader story, and Harris is seeking dynamic candidates who can add to our best-in-class environment. We recognize that qualifications can be gained through both traditional and non-traditional paths, and we are committed to considering candidates who possess the potential to be excellent in this role regardless of prior experiences.  

Therefore we encourage ALL interested individuals to submit their applications, even if they do not meet every requirement outlined in the job description. 

The Position

Harris Associates is seeking a motivated and detail-driven Analyst to support our Legal and Compliance department. This entry-level role is ideal for someone eager to gain deep, practical insight into the compliance operations of a federally registered investment adviser. The successful candidate will demonstrate intellectual curiosity, strong organizational skills, and a proactive mindset, with a keen interest in financial regulation and operational best practices.

This position offers immersive, hands-on experience across the foundational areas of Harris Associates’ oversight framework with a focus on internal controls and enterprise risk management, compliance program administration and operational support, marketing reviews, and adherence to regulatory standards. It’s a unique opportunity to build foundational expertise in investment adviser compliance while contributing to a culture of integrity and excellence. 

Responsibilities

• Evaluate the adequacy and effectiveness of compliance policies and procedures by testing operational, regulatory, and IT controls across key business processes, thoroughly document methodologies, findings, deviations, and recommendations for improvement.
• Support the implementation of the ComplianceAlpha GRC solution and actively contribute to the rollout of a marketing review tool.
• Maintain documentation of key internal controls and compliance obligations within ComplianceAlpha; collaborate with stakeholders to identify control gaps and process inefficiencies and contribute to initiatives that address audit and regulatory findings.
• Participate in annual and ongoing compliance risk assessments for the firm’s investment adviser and broker-dealer activities.
• Work closely with key stakeholders to facilitate internal audits and respond to periodic compliance and operational audit requests from the firm’s parent company.
• Collaborate with the Chief Compliance Officer (CCO) to support the maintenance and development of compliance policies, procedures, dashboards, and reports.
• Learn and apply marketing regulations in asset management; review materials to ensure regulatory compliance.
• Contribute to the preparation and submission of U.S. regulatory filings for the firm’s registered investment adviser and limited purpose broker-dealer; assist in preparing substantial shareholder filings—both domestic (Forms 13D/G/F) and international.
• Oversee the implementation of a records management framework and ensure proper maintenance of required compliance records.
• Monitor the issuers for financial crime risks, including concerns related to anti-money laundering (AML) and global sanctions.
• Develop a strong understanding of Harris’ Compliance Program, desktop procedures across business units, and applicable regulatory requirements (e.g., SEC, FINRA, ERISA).
• Other duties and projects as assigned to support related department and firm initiatives.

Qualifications

• Bachelor’s degree in business administration, finance, or related field.
• 1-3 years of compliance experience in the financial services industry.
• Strong organizational skills and excellent verbal and writing skills.
• Excellent attention to detail, a high degree of initiative and adaptability, and the ability to deliver timely work products.
• Strong interpersonal skills and the ability to work with all levels of the team with a high degree of integrity, professionalism, confidentiality, and maturity.
• Demonstrated ability to prioritize and juggle multiple tasks while remaining flexible to new requests.
• The ability to work independently as well as in a team environment.
• Growth-orientated mindset focused on using technology to reduce inefficiencies.
• Proficient in the suite of MS Office products. 

Equal Employment Opportunity Policy Statement
Harris Associates L.P. pursues a policy of equal opportunity in all areas of employment including recruitment, hiring, training, compensation, benefits, advancement, and treatment on the job. This means that Harris does not discriminate against employees, or qualified applicants, based on an individual's race, color, religion, creed, sex, age, national origin, physical disability, sexual orientation, trans-gender status, transsexual status, status as a veteran or disabled veteran, genetic information or for any other reason prohibited by law.  Harris reserves the right to review publicly available information about applicants (i.e., via social networking sites), to the extent permissible under applicable law.

Reasonable Accommodation Notice
We provide reasonable accommodation for individuals with disabilities and disabled veterans in job application procedures. If you have any difficulty using our online system and you need an accommodation due to a disability, you may use the alternative email address below to contact us about your interest in employment at HR@harrisassoc.com or you can call us at 312-646-3600.

Privacy Statement
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