Portfolio Compliance Analyst

at  The Hartford

Compliance Analyst - 87LB6E
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Overview of the role:
Hartford Funds is seeking a compliance professional to serve as a Compliance Analyst. The candidate will be responsible for various aspects of the investment adviser, transfer agency and mutual fund compliance programs of in support of Hartford Funds.
The Compliance Analyst will support the portfolio compliance program, including the daily review of exception reports and the preparation, review and / or and submission of various related regulatory filings. The Analyst will also support certain reviews and monitoring of AML and transfer agency oversight programs. The Analyst will also assist in core compliance programs including, compliance testing, risk assessment and the annual review of compliance policies and procedures.
The Compliance Analyst will report to the Compliance Director / Chief Compliance Officer of the Transfer Agent responsible for overseeing the investment advisers and transfer agency compliance programs and will also provide support to the Chief Compliance Officer in connection with the Funds’ compliance program. The candidate will work closely with other members of the Compliance Department, sub-advisers, sub-transfer agents and other Hartford Funds’ business units, including investment research and operations teams.

Responsibilities

• Perform daily and other periodic reviews of the post-trade compliance exception reports for certain mutual funds, ETFs and closed end funds
• Coordinate with sub-advisers and internal investment team on exceptions and resolution
• Assist in the compliance review of the Funds and ETFs’ annual update; coordination with fund administrator to update portfolio compliance and guideline monitoring tests
• Coordinate the review and implementation of new Fund’s portfolio compliance matrix and investment guidelines with fund administrator and sub-adviser.
• Assist in the preparation and review of regulatory filings including but not limited to ADV Part I and Part 2A, associated NFA/CFTC quarterly and annual filing requirements and Forms 13F, 13G and N-PX.
• Review activity reports related to frequent trading and AML related reporting. Assist in the research related to client communications and requests, as needed.
• Assist in the annual review of compliance manuals and implement required updates as appropriate. Assist in the review and completion of various aspects of the advisers’ and transfer agency testing programs.
• Assist with sub-adviser, administrator, and other due diligence reviews.
• Prepare certain board materials including reports on commissions and soft dollars.

Qualifications

• A minimum of 2 - 4 years’ compliance, fund accounting, and/or legal experience with expertise in mutual fund, ETF or investment adviser compliance; portfolio compliance experience preferred.
• Knowledge of US securities compliance (Investment Company Act of 1940 and Investment Adviser Act of 1940), regulated business environments and key legal issues especially as they relate to trading, the investment process and the management of investment funds.
• Knowledge of financial markets on a global level and strong understanding of the investment industry with sound understanding of equities, fixed income, and derivative securities.
• Excellent analytical skills and the ability to understand trade and financial data.
• Strong organizational and time management skills.
• Strong communication skills and the ability to effectively collaborate with Hartford Funds’ business units, sub-advisers and third party service providers.
• Bachelor’s degree
• Ability to travel up to 5% of time.

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:
$65,000 - $85,000
Equal Opportunity Employer/Females/Minorities/Veterans/Disability/Sexual Orientation/Gender Identity or Expression/Religion/Age

• Perform daily and other periodic reviews of the post-trade compliance exception reports for certain mutual funds, ETFs and closed end funds
• Coordinate with sub-advisers and internal investment team on exceptions and resolution
• Assist in the compliance review of the Funds and ETFs’ annual update; coordination with fund administrator to update portfolio compliance and guideline monitoring tests
• Coordinate the review and implementation of new Fund’s portfolio compliance matrix and investment guidelines with fund administrator and sub-adviser.
• Assist in the preparation and review of regulatory filings including but not limited to ADV Part I and Part 2A, associated NFA/CFTC quarterly and annual filing requirements and Forms 13F, 13G and N-PX.
• Review activity reports related to frequent trading and AML related reporting. Assist in the research related to client communications and requests, as needed.
• Assist in the annual review of compliance manuals and implement required updates as appropriate. Assist in the review and completion of various aspects of the advisers’ and transfer agency testing programs.
• Assist with sub-adviser, administrator, and other due diligence reviews.
• Prepare certain board materials including reports on commissions and soft dollars