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.