Compliance Analyst

About HarbourView Equity PartnersHeadquartered in Newark, NJ HarbourView Equity Partners is a multi-strategy, global investment firm focused on esoteric investment opportunities in the entertainment and media space. We focus on equity and equity related investment opportunities that are supported by several factors including long duration revenue streams, resilience to broad economic downturns, and iconic intellectual property that withstands the test of time.HarbourView is a long-term investor in content with an industrial platform built to protect, optimize and enhance the legacy of premium IP.At HarbourView, we believe creators deserve a seat at the table, creatively and economically, to own their narrative and maximize value for all.Our ValuesIntegrity. We require equity, authenticity, and radical transparency from our people which creates a virtuous circle of trust and enables our best ideas to tellectual Curiosity. We challenge ourselves to defy conventional wisdom, emboldened by the curiosity of an unvarnished eye, allowing us to see opportunities that others do not yet see. We are bold enough to lead and have a track record of being first.Impact. Our people show up authentically, as they are, from various professional and personal journeys to drive differentiated outcomes for ourselves, our community and our investors. We come together to with a purpose to drive impact with every dollar invested.The Role:The Compliance Analyst is responsible for ensuring smooth onboarding and robust operational processes while maintaining strict adherence to regulatory requirements. This role bridges operations and compliance, supporting everything from bank and insurance setups to detailed regulatory filings and cybersecurity assessments.Key Responsibilities:Onboarding and Operations· Establish and manage bank accounts, insurance, and distribution lists· Approve royalty payments, handle omnibus deposits, and reconcile royalty statements with cashGeneral Operations· Respond to lender due diligence requests· Monitor insurance policies, track renewals, and maintain accurate recordsCompliance· Assist in filing Form ADV and tracking Form D submissions and blue-sky filings· Support LP onboarding and manage recurring compliance covenants, quarterly attestations, and employee transaction tracking· Participate in quarterly compliance reviews, annual and ad-hoc policy updates, and DDQ updates· Address ODD and RFI requests and provide support to compliance consultants· Oversee cybersecurity initiatives, including tracking vulnerability scans, organizing annual penetration tests, completing cyber security reviews, and coordinating third-party vendor assessmentsQualifications:· Strong analytical, organizational, and communication skills· Experience with regulatory filings and compliance processes· Ability to manage multiple tasks in a fast-paced environment, ensuring precise operational and compliance executionPersonal Attributes· Detail-Oriented & Results-Driven: High attention to detail with a relentless drive for excellence and measurable results.· Collaborative & Adaptable: Strong team player who thrives in a collaborative environment and adapts quickly to change.· Excellent Communicator: Effective communicator with the ability to distill concepts into clear, understandable insights for internal and external stakeholders

Created: 2025-03-08