Compliance Consultant - 87LB5E
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Overview of the role:
Hartford Funds is seeking an experienced professional, preferably with a minimum of 3 years' experience working in compliance, internal audit or public / fund accounting, to serve as a Compliance Consultant within the Hartford Funds Compliance Department. The Compliance Consultant will report to the Compliance Manager responsible for overseeing the Investment Adviser and Transfer Agency testing program and controls/oversight program. The candidate will work closely with other members of the Compliance Department and with individuals in the line of business.
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Responsibilities:
- Assist in the planning, design and / or execution of various aspects of the testing program
- Coordinate and execute various functions within the controls / oversight program which may include items such as reviewing and creating Review Reports to document the reviews of our Service Providers' Service Organization Reports
- Assist the Compliance Manager with conducting various due diligence related activities of the Service Providers to the Hartford mutual funds and ETFs
- Assist, as needed, with implementation of new regulatory requirements
- Assist in the management of policies and procedures
- Perform other compliance functions as required
Qualifications:
- Bachelor's degree
- Minimum of three years' experience working in compliance, internal audit or public/fund accounting
- Knowledge of pooled vehicles (e.g. mutual funds and ETFs) a plus
- Ability to interpret regulations, policies and procedures and execute effective compliance controls and tests
- Excellent analytical skills and problem-solving skills
- Strong organizational and time management skills
- Strong communication skills and the ability to effectively collaborate with Hartford Funds' business units
Compensation
The listed annualized base pay range is primarily based on analysis of similar positions in the external market. Actual base pay could vary and may be above or below the listed range based on factors including but not limited to performance, proficiency and demonstration of competencies required for the role. The base pay is just one component of The Hartford's total compensation package for employees. Other rewards may include short-term or annual bonuses, long-term incentives, and on-the-spot recognition. The annualized base pay range for this role is:
$80,000 - $125,000
Equal Opportunity Employer/Females/Minorities/Veterans/Disability/Sexual Orientation/Gender Identity or Expression/Religion/Age
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