JOB DESCRIPTION - Good Harbor Financial

1 JOB DESCRIPTION Position Title: Senior Compliance Associate Reporting To: Chief Compliance Officer Department: Compliance Location: Chicago, IL Firm Overview Good Harbor Financial , LLC is an industry leader in Tactical Investment Management with over $10 billion in assets under management/assets under advisement. Good Harbor develops and manages a comprehensive suite of tactical investment solutions designed to fit into a wide range of portfolios for institutions, private investors and their Financial advisors. Good Harbor 's tactical investment strategies seek to enhance risk-adjusted returns by aligning capital with risk assets in periods of market strength, and by allocating to defensive assets in periods of market weakness.

2 Our strategies are designed by an experienced team of individuals with strong quantitative backgrounds and who understand the responsibilities that come with professional asset management. We recognize that our strength and success is directly linked to the quality and skills of our diverse associates. We are proud to be a firm where talented people who want to make a difference can grow as professionals, leaders, and as individuals. Visit to learn more about our values, our history, and our brand. Position Responsibilities Good Harbor s Compliance Department provides service, support, and advice to promote the Firm s growth and development while helping employees and the Firm meet their regulatory obligations, and more broadly, to preserve and enhance our reputation for integrity.

3 The Senior Compliance Associate will report to the Chief Compliance Office and assist with the day-to-day administration of the Firm s compliance program. The following duties are generally representative of the nature and level of work assigned and are not necessarily all inclusive. Review, maintain, and update the Firm s regulatory filings, including those with the SEC and National Futures Association ( NFA ). Examples include Forms ADV, Section 13 Filings, and Form CPO-PQR. Develop, maintain, and update the Firm s compliance policies and procedures. Conduct employee training with respect to the compliance program. Conduct the SEC-required annual review of the Firm s policies and procedures, including testing of the policies and procedures, and participate in the drafting of the report to management regarding the same.

4 Conduct risk assessments; recommend risk mitigation techniques and controls. Maintain the required compliance and corporate files as mandated by the SEC, NFA and other applicable regulators. Review marketing materials and investor communications to ensure compliance with relevant laws and regulations. Oversee the day-to-day administration of the Firm s code of ethics/personal trading policies through the Firm s compliance software, Compliance11. Respond to regulatory inquiries and third party examiners. Conduct appropriate surveillance of business activities, including a review of investment allocations and investment guidelines and restrictions, specifically as it relates to the Firm s registered investment products.

5 Communicate directly with the Chief Compliance Officer regarding various written inquiries. Interact with various departments within the organization to ensure consistency in policies and procedures. Monitor new legal and regulatory developments and update policies and procedures accordingly. Special projects as necessary. Candidate Attributes The successful candidate will ideally possess the following qualifications and attributes: Bachelor s degree required; advanced degree a plus. 5+ years of experience in a compliance function for a SEC-registered investment adviser, preferably one that manages registered investment products. Strong understanding of the asset management industry and securities markets, as well as a thorough knowledge of securities laws that relate to investment advisers ( , Investment Advisers Act, Investment Company Act, Securities Act, Commodities Exchange Act).

6 Has the ability to analyze situations for compliance and business risk, and implement solutions to address and mitigate such risk. Possess a high moral character and professional integrity. Excellent written, oral and presentation skills. Meticulous attention to detail and highly accurate. A self-starter that enjoys a team-oriented approach. Good Harbor Financial , LLC is an equal opportunity employer. We offer competitive compensation relative to the successful candidate s experience and qualifications. We also offer a full benefits package, inclusive of medical, dental, and vision benefits, and participation in the firm s 401(k) plan.