Compliance Asst Director, HIMCO
Location:
Hartford , Connecticut
Posted:
October 19, 2017
Reference:
1702468

Hartford Investment Management Company (HIMCO) is a registered investment adviser and a wholly-owned subsidiary of The Hartford. HIMCO's Investment Management Compliance team is seeking a Compliance Assistant Director to support trading compliance and program testing. This position offers candidates the opportunity to gain valuable knowledge and experience in a wide variety of investment adviser compliance practices and issues. This role requires regular interaction with HIMCO's traders, portfolio managers, sector managers and support teams, as well as interaction with other members of HIMCO Compliance and Investment Law.
This individual contributor position is located in HIMCO's Hartford, CT offices and reports to HIMCO's Head of Investment Management Compliance.

Responsibilities:
  • Work collaboratively with the business to ensure compliance with HIMCO's policies and procedures
  • Monitor HIMCO's trade activity for equitable treatment through periodic surveillance and forensic review
  • Manage controls surrounding material, non-public information (MNPI) including maintenance of restricted lists and periodic surveillance
  • Review broker activity to ensure best execution is sought and to identify potential conflicts due to gifts and entertainment
  • Create or recommend additional controls where needed, designed to gain efficiency and ensure business processes are in compliance with federal securities laws, regulations and client guidelines
  • Stay current with regulatory and business unit changes and assist with solution development to ensure effective implementation of new controls
  • Coordinate information and documentation for periodic certifications and regulatory audits and examinations
  • Prepare short synopses of regulatory events and department enhancements for senior management
  • Complete periodic regulatory filings
  • Cross train with team members to support other department controls
  • Review electronic communications samples
  • Engage in Compliance-related project work


Qualifications:
  • 4 year college degree or equivalent experience is required
  • A minimum of 5 years of investment adviser or compliance experience
  • Proven experience:
    • Applying insights from broader business and industry perspective to help develop compliant solutions
    • Creating, modifying and regularly executing business operation processes to mitigate risk
    • Developing practical applications of legislative, regulatory and in-house company policy requirements
    • Performing complex projects and analysis, conducting research, and developing decision making information
    • Utilizing different forms of technology (BlackRock, Excel, Archer, SharePoint, Business Objects, etc.)
    • Communicating effectively with business partners


WHY JOIN THE HARTFORD?
Visit our website to learn about The Hartford's recognition. Information about the company and its product offerings is available at www.thehartford.com .

Join us on Facebook at www.facebook.com/TheHartford .
Follow us on Twitter at www.twitter.com/TheHartford .


WHAT IS THE COMPENSATION OPPORTUNITY?
At The Hartford, 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, an Employee Stock Purchase Plan and more.

Equal Opportunity Employer / Females / Minorities / Veterans / Disability / Sexual Orientation / Gender Identity or Expression / Religion / Age

** NO AGENCIES PLEASE **

A little about us:
HIRING VETERANS IS A PRIORITY FOR THE HARTFORD

Know someone who would be interested in this job? Share it with your network.