To apply for this position, please go here: Legal & Compliance Associate | Current Opportunities (ultipro.com)

The Legal & Compliance Associate will be based in our Waltham office and will be responsible for supporting the Legal & Compliance team with legal and compliance initiatives within the organization (most notably, those affecting the U.S. High Yield team).  The Legal & Compliance Associate will play a critical role in facilitating compliance by the Firm and its employees with applicable regulatory requirements and internal policies and procedures.  The Legal & Compliance Associate will report to the General Counsel and Chief Compliance Officer of Polen Capital Credit.

Responsibilities

• Under the supervision of in-house counsel, review and edit confidentiality agreements, interacting with members of the Investment team and external parties as necessary.

• Maintain the Restricted and Special Situations Lists, updating as necessary.

• Assist with transactional documentation (e.g., processing signatures, ballots, exchanges and consent documentation) with respect to clients of Polen Capital Credit under the supervision of in-house counsel.

• Maintain logs and worksheets related to various compliance and investment matters (e.g., custody, personal trading, etc.).
• Under the supervision of in-house counsel, utilize compliance software with regard to (i) employee trading (including maintenance of employee and broker accounts), (ii) quarterly and annual certifications, (iii) new employee certifications, and (iv) other compliance issues as needed.
• Maintain documentation related to funds/accounts managed by Polen Capital Credit.
• Work alongside the Legal & Compliance team in reviewing guidelines and other agreements with clients, financial institutions, consultants, plan fiduciaries, and investment advisers.
• Research pertinent legal and regulatory developments as requested by in-house counsel.
• Support the Legal & Compliance team with developing, maintaining, and revising the Firm’s compliance policies and procedures manual.
• Assist the Legal & Compliance team with regulatory reporting and responding to audits, regulatory exams, investigations, and other information requests.

• Assist with special projects as assigned and work with the Legal & Compliance team with respect to compliance oversight, challenges, and future state design.

Qualifications

• Undergraduate degree, minimum GPA of 3.3
• 2 - 4 years of work experience in a corporate setting
• High standards of personal integrity and accuracy
• Effective oral and written communication skills
• Ability to work independently and effectively in a dynamic environment
• Intermediate knowledge of the products and services available in the investment management industry desired but not required
• Ability to prioritize and meet multiple deadlines with a sense of urgency
• Robust interpersonal and communication skills, including a high degree of client service-mindedness
• Willingness to dive in and figure things out with other members of the Legal and Compliance team
• High level of comfort and proficiency with computer systems, including Microsoft Office suite, as well as a willingness to learn new systems as required.

Additional Information

• Full-time Employee
• Location: Waltham, MA
• Less than 5% travel required
• U.S. Permanent Work Authorization required
• Polen Capital is a ROWE (Results-Only Work Environment), offers competitive health benefits, paid parental leave, and annual individual training budgets

Research shows that women and other underrepresented groups tend to apply only if they meet 100% of the criteria. We are committed to leveling the playing field, and we encourage women, people of color, and those in the LGBTQ+ community to apply for positions even if they do not necessarily check every box outlined in the job description.

Polen Capital is committed to protecting the health and well-being of our team members, their families, and members of our community against COVID-19. Accordingly, we require all team members based in MA to be fully vaccinated against COVID-19, unless they have a documented underlying medical condition or sincerely held religious belief that prevents such vaccination. Offers of employment will be conditioned upon applicants presenting proof of completing a full COVID-19 vaccination or obtaining a medical or religious exemption.

Firm Overview

Polen Capital is a global investment management firm advising approximately $70 billion in assets as of March 2022 and providing high value-added active strategies to a wide range of institutional and individual clients around the world. Since 1989, the Firm has been committed to attracting, developing, and retaining exceptional professionals who are aligned with our goal of preserving and growing our clients’ assets to protect their present and enable their future. 

Polen Capital has four autonomous investment teams that currently oversee global equities and U.S. credit: the Large Company Growth Team; the Small Company Growth Team; the Emerging Markets Growth Team; and the U.S. High Yield Team – with offices in Boca Raton, Boston, London, and Hong Kong. 

Polen Capital has been recognized by Pensions & Investments as one of the industry's "Best Places to Work" for each of the past six years. 

Our Culture

• Polen Capital is guided by three Core Values geared toward honoring our commitment to our clients and creating a positive culture and a cordial and productive professional environment: “Do the right thing,” “Do more than expected,” and “Respect the individual”
• Mastery, autonomy, and purpose are key drivers for our people and behaviors
• Polen Capital embraces a growth mindset, strives for continuous learning, communicates via radical candor, and is a Results-Only Work Environment (https://www.gorowe.com)
• Diversity of thought, unique perspectives, and inclusivity are core beliefs at Polen Capital; we view a diverse workforce as essential in fostering a culture of empathy and open-minded collaboration