Kelley M. McCarthy
Boston
Summary
Detail-oriented team player with strong organizational skills. Ability to handle multiple projects simultaneously with a high degree of accuracy.
Overview
5
5
years of professional experience
Work History
Senior Compliance Associate
Partners Capital Investment Group, LLP
05.2024 - Current
Legal & Compliance Associate
Hercules Capital, Inc.
01.2019 - 05.2024
- Assist with the development of ongoing policies, procedures and monitoring in accordance with applicable SEC, NYSE and other regulations
- Perform routine and ad hoc compliance testing via Orion and ComplySci and communicate any identified issues and risks to the Chief Compliance Officer
- Support the annual review of the compliance program in accordance with Rule 38a-1 of the 1940s Act and Rule 206(4) of the Advisers Act
- Assist with portfolio company due diligence related to compliance with AML / KYC policies and procedures
- Assist with the management and oversight of record keeping and record destruction in accordance with applicable regulations
- Review personal trading and other activities requiring reporting and / or pre-clearance for all employees
- Assist Chief Compliance Officer with preparations of compliance and risk reporting for the Board of Directors.
Legal & Compliance Analyst
Hercules Capital, Inc.
01.2019 - 01.2022
- Assist Chief Compliance Officer in review of the processes and procedures to ensure compliance with Sarbanes-Oxley (SOX) and Anti-Money Laundering (AML) regulations
- Collect and review data to identify potential compliance issues requiring further review
- Maintain the internal document management system for all Portfolio Companies
- Work with outside counsel to assist in litigation matters
- Review and maintain confidentiality agreements.
Education
Bachelor of Science - Business Administration and Management -
University of New Hampshire
Durham, NH01.2019
Skills
- Regulatory expertise
- Legal Research
- Compliance Monitoring
- Internal Auditing
- Compliance reviews
- Risk Management
- Notarial Acts
- AML and KYC Procedures
Timeline
Senior Compliance Associate
Partners Capital Investment Group, LLP
05.2024 - Current
Legal & Compliance Associate
Hercules Capital, Inc.
01.2019 - 05.2024
Legal & Compliance Analyst
Hercules Capital, Inc.
01.2019 - 01.2022
Bachelor of Science - Business Administration and Management -
University of New Hampshire
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