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
2024.05 - Current
Legal & Compliance Associate
Hercules Capital, Inc.
2019.01 - 2024.05
- 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.
2019.01 - 2022.01
- 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
2024.05 - Current
Legal & Compliance Associate
Hercules Capital, Inc.
2019.01 - 2024.05
Legal & Compliance Analyst
Hercules Capital, Inc.
2019.01 - 2022.01
Bachelor of Science - Business Administration and Management -
University of New Hampshire
Similar Profiles
Renaé RaynorRenaé Raynor
Office Manager / Executive Assistant at Securis Investment Partners LLPOffice Manager / Executive Assistant at Securis Investment Partners LLP
Matt StasiakMatt Stasiak
HR Assistant (Perm) at Parmenion Capital Partners LLPHR Assistant (Perm) at Parmenion Capital Partners LLP
Hannah Brook PerriginHannah Brook Perrigin
Director of Marketing and Public Relations at SH Capital Investment GroupDirector of Marketing and Public Relations at SH Capital Investment Group