Overview of the Role:
Hartford Funds is seeking an entry-level Compliance Analyst to assist in the administration of the Hartford Funds and HASCO Compliance Programs. Responsibilities will include support of the Funds' Anti-Money Laundering ("AML"), Intermediary Oversight and Rule 22c-2 Frequent Trading Programs. The individual in this role will perform compliance testing, service provider oversight, and other aspects of mutual fund operational compliance.
Based in Hartford Funds' Wayne, PA office, the Compliance Analyst is an individual contributor and will report to the HASCO Chief Compliance Officer, who is responsible for AML, transfer agency compliance, Rule 38a-1 service provider oversight, and intermediary oversight. The individual will be an integral member of the Hartford Funds Compliance Team, and will be expected to manage multiple priorities simultaneously.
The Compliance Analyst's responsibilities in support of the day-to-day implementation of Hartford Funds and HASCO Compliance Programs include the following:
• Review daily control reports for indications of compliance violations, financial crime or other business risks
• Identify, remediate and track incidents, exceptions and regulatory deficiencies.
• Execute compliance policy tests and risk assessments
• Review intermediary and service provider independent audit reports and service level metrics
• Assist in annual prospectus updates
• Complete regulatory filings as directed
• Prepare compliance program reports for the Funds' Board of Directors
• Maintain knowledge of mutual fund compliance requirements and update business practices and controls as may be necessary
• Analytical and problem solving skills
• Ability to effectively collaborate and communicate
• Ability to interpret regulations, policies and procedures and develop effective compliance controls and tests
• Bachelor's degree; or minimum four years of experience in financial services regulatory compliance and/or mutual fund operations
WHY JOIN HARTFORD FUNDS?
Founded in 1996 and headquartered in Wayne, PA, Hartford Funds is a leading provider of mutual funds, strategic beta ETFs and 529 college savings plans. The company offers a broad range of strategies designed to provide solutions for a variety of investment needs. Hartford Funds has total assets under management of $91.5 billion as of June 30, 2017 (excluding assets used in certain annuity products). Hartford Funds are primarily sub-advised by Wellington Management or Schroder Investment Management, two leading investment advisors.
At Hartford Funds, we believe in human-centric investing-a unique approach that utilizes deep research and insights to understand the rational and emotional ways investors think about money, their investments and their financial advisors, and then create solutions and advisor tools designed to serve those investors and their mindsets.
Hartford Funds embraces a true entrepreneurial spirit where all employees are encouraged to 'act like an owner' of the firm, and live Hartford Funds' human-centric investing approach. Employees work in a fast-paced, dynamic environment, that is focused on strengthening financial advisor-client relationships by helping investors better realize their true life goals.
WHAT IS THE COMPENSATION OPPORTUNITY?
At Hartford Funds, our compensation philosophy is simple: we pay competitive base salaries and reward performance. In addition, you will be eligible to participate in our comprehensive benefits program including Medical, Dental, Life and Disability Insurance, a 401K Plan, and more.
This position may be subject to The Hartford Funds political contributions policy.
Hartford Funds is an Equal Employment Opportunity and Affirmative Action Employer.
Equal Opportunity Employer/Females/Minorities/Veterans/Disability/Sexual Orientation/Gender Identity or Expression
Hartford Funds maintains a drug-free workplace.
Committed to Building Inclusion and Leveraging Diversity
** NO AGENCIES PLEASE **
A little about us:
HIRING VETERANS IS A PRIORITY FOR THE HARTFORD