LEGAL AND COMPLIANCE ANALYST I

Location:  Boston, MA

Department: Legal

Reports To: General Counsel, Chief Compliance Officer & Secretary

 

Position Summary

A Legal and Compliance Analyst I who will be a part of our Legal and Compliance team. This role will report to our Associate General Counsel and support the Company’s portfolio investment transactions and other various legal needs.

 

Essential Responsibilities

·         Supporting the origination process by managing the documentation process, including quality control and storage of final documents.

·         Updating and maintaining Legal Log for finance and audit purposes.

·         Working with outside counsel to obtain all post-closing items, such as closing binders, etc.  Diligently following up on any missing documents.

·         Filing all closing documents in internal document management system.

·         Preparing transmittal letters for custody of securities and confirming delivery to custodian.  Updating and maintaining custody tracker list.

·         Preparing final checklists for each debt transaction to ensure uniformity of terms from Due Diligence Memo to Loan and Security Agreement.

·     Filing and tracking UCC financing statements (including amendments, terminations and continuations) and conduct searches.  Updating internal UCC report as applicable.

·         Track and update database for new NDAs.

·         Processing legal invoices.

·    Overseeing the payoff process, including drafting letters, release of liens, DACA/SACA terminations, UCC terminations, returning collateral to borrowers and updating relevant lists.

·        Assisting with compliance tasks as requested by the Chief Compliance Officer.

·        Assisting the General Counsel in document management.

·        Working with outside counsel to assist in litigation matters

·       Completing new deals checklist calculating time frame of deals from beginning to end in an effort to find ways to improve efficiency promptly after closing.

·         Performing Anti-Money Laundering searches to ensure that firm is OFAC compliant

·         Providing portfolio companies with post-closing managerial assistance letters to ensure that firm remains in compliance

·         Completing routine portfolio company document projects/audits as requested by Credit department

·         Maintaining company contracts folders to ensure all vendor contracts are current

·         Assisting with the completion of company annual insurance renewal documents

·         Updating and saving legal department document forms as needed.

·         Facilitating the off-site storage of internal and portfolio company documents for safe keeping

 

Qualifications

·         Ideal candidates will have:

·         Minimum of 2 years legal and/or compliance experience, preferably both.

·         Self-motivated with the ability to meet or exceed deadlines, prioritize, multi-task, and maintain flexibility in a fast-paced, changing environment.

·         Excellent legal, written and verbal communication.

·         Exhibit strong analytical, organizational, and business sense.

·         Flexibility to work quickly and accurately; detail-oriented.

·         Ability to quickly build rapport and trust in a collaborative, transparent work environment.

 

Personal Attributes:

·         A team player with good interpersonal and communication skills.

·         Exude confidence when faced with challenges and maintain uncompromising personal integrity.

·         Organized and efficient, with the ability to define priorities.

·         Ability to adapt in a fast-paced environment.

·         Highly-motivated with the ability to meet or exceed deadlines, prioritize, multi-task and maintain flexibility in a fast paced, changing environment.

·         About Hercules Capital, Inc.:

Hercules Capital, Inc. (NYSE: HTGC) ("Hercules") is the leading specialty finance company focused on providing senior secured loans to venture capital-backed companies in technology-related markets, including technology, biotechnology, life science, and energy & renewable technology industries, at all stages of development. Since inception (December 2003), Hercules has committed more than $4.6 billion to over 300 companies and is the lender of choice for entrepreneurs and venture capital firms seeking growth capital financing. 

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