Job Description

SUMMARY

The Compliance Team at The Haverford Trust Company is responsible for the development, implementation, and maintenance of the regulatory compliance program for The Haverford Trust Company (“HTC”) and Affiliates, which consists of a bank and trust company and a SEC-registered investment adviser, among others. The Compliance Analyst reports to and partners closely with the Chief Compliance Officer of HTC. The primary responsibilities of the Compliance Analyst are to: 1) review advertising and marketing material; 2) assist in the maintenance and testing of compliance policies, procedures, and processes; 3) assist in the review and analysis of applicable laws and regulations.

About The Haverford Trust Company

Founded in 1979, The Haverford Trust Company is committed to quality. In fact, the Haverford Quality Investing® philosophy is the cornerstone of our success, not only supported by the expertise and integrity of our people but also by the reputation and track record of our company. As of December 31, 2024, we had $15.0B in assets under management and/or consultation.

Haverford Trust has experienced significant growth in recent years—only three years ago we had 110 employees, and we now have 150+ team members - but our commitment to a strong company culture has never wavered. With a company-wide Monday Morning Meeting to kick off each week, informal breakfasts with the CEO and President, a Speaker’s Series for Women, an annual charity run, and more, Haverford has a powerful and unique culture. Our employee retention rate speaks for itself: 97.1%. Meet our team, and you quickly see that every person exhibits Haverford’s core values of Quality, Integrity, Respect, Discipline, Optimism, and Community. Unquestionably, our team is our greatest asset.

REQUIREMENTS

• Normal business hours are Monday through Friday, 8:30AM – 5:30PM EST
• Hybrid work environment with in-office and at-home days to be determined with the team manager. Wednesdays are designated as all hands in office.
• May be required to work additional hours as needed to meet expectations.

POSITION RESPONSIBILITIES

Key responsibilities include:

• Review advertising and marketing material
• Assist in the maintenance of compliance policies, procedures, and processes!
• Monitor and test compliance policies and procedures!
• Conduct agreement and document reviews for account openings!
• Assist with the preparation and filing of regulatory filings!
• Assist in coordinating and responding to regulatory examinations and compliance audits!
• Perform administrative tasks as needed.
• Act as a trusted resource for colleagues in other departments!

QUALIFICATIONS

Education / Experience

• BA/BS Degree or equivalent experience
• 2+ years of experience within the financial services industry, preferably with a registered investment adviser
• Familiarity with SEC Marketing rules

Skills / Abilities

• Ability to manage and plan for multiple deadlines across competing priorities.
• Strong written and verbal communication skills, with the ability to determine what needs escalation vs. resolution on your own.
• Strong research, analysis, and critical thinking skills
• Ability to understand complex issues and assess risks.
• Initiative and a passion for embracing challenges, including implementing innovative technology solutions.
• Professionalism and comfort interacting with all levels in the company.
• Knowledge of the investment advisory industry

The Haverford Trust Company shall, in its discretion, modify or adjust the position to meet the company’s changing needs. Additionally, this job description is not a contract and may be adjusted as deemed appropriate at Haverford’s sole discretion.

All team members of Haverford are required to comply with internal procedures as well as applicable federal, state, and self-regulatory organizations including, but not limited to, the Bank Secrecy Act of 1970 and the USA PATRIOT Act.

The Haverford Trust Company is an equal opportunity employer. The Company is committed to providing equal employment opportunities to all applicants. All applicants for employment will be provided equal and fair opportunity without regard to race, color, creed, religion, ancestry, national origin, sex, sexual orientation, age, citizenship, disability, medical condition, marital status, status as a veteran or special disabled veteran, or any other characteristic protected by law.

This position may be subject to Haverford’s Political Contribution Policy. An offer of employment may be contingent upon disclosing to Haverford the details of certain political contributions. Haverford may decline to extend an offer or terminate employment for this role if it determines political contributions made could have an adverse impact on Haverford’s current or future business interests, misrepresentations were made, or for failure to fully disclose applicable political contributions and or fundraising activities.

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