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Pennsylvania - Director, Investment Advisor Compliance
Refer job# 6MVT24097
 
Director, Investment Advisor Compliance
The candidate will be responsible for the oversight of the Funds' advisers' Rule 206(4)-7 compliance programs to ensure compliance with existing laws and regulations and to assist in responding to audits, examinations and similar regulatory inquiries related to the Funds and its advisers. Will report to the Vice President, CCO of the Funds and Advisers within the company's Enterprise Compliance organization. Responsible for the day-to-day implementation of the compliance programs of the Funds' advisers, including ongoing monitoring of compliance requirements, risk assessment analysis and corporate directives that impact the compliance programs. Provide compliance oversight with respect to mutual fund sub-advisers including both initial and ongoing due diligence. Develop thorough knowledge of sub-advisers' compliance framework and practices, assess and report on sub-advisers' compliance with applicable policies and procedures pertaining to management of the Hartford mutual funds. Exercise ongoing due diligence oversight of sub-advisers with respect to a broad range of compliance issues, including trading practices and commissions. Assist the Funds and Advisers CCO in preparing quarterly reporting to the Mutual Fund Board of Directors and an annual compliance report for the Advisers. Manage the compliance professional responsible for the monitoring of portfolio compliance for applicable portfolios using the Charles River compliance system and the administration of the mutual fund and advisers' code of ethics. Provide assistance in the execution of these duties as necessary. Assist in the preparation and review of various regulatory filings including Forms 13F, 13G and N-PX, and provide information and responses in connection with the mutual fund annual advisory contract 15(c) renewal. Responsible for the maintenance and filing of the Advisers' Forms ADV, both annually and in connection with material changes. Review and comment on shareholder reports (primarily MD&As), applicable portions of the prospectuses and SAIs, RFP, RFI and Questionnaire information, Fund holdings disclosure and other disclosures provided from time to time. Participate in and provide input at the Funds' Valuation Committee meetings, review valuation practices, and participate in due diligence reviews of valuation vendors. Provide other support for advisers' and funds' compliance programs, including supporting the Investment Adviser risk assessment process, incorporate, as appropriate, sample or forensic testing in assessments, implementing the Pay-to-Play requirements for HLIA and HIFSCO. Monitor changes to the federal securities laws that could require revisions to the policies and procedures, and to ensure that any required changes are communicated to the applicable business areas and are implemented accordingly.

The candidate should have a Bachelor's degree. Should preferably have an advanced degree or proven business acumen. J.D. degree, CPA or CFA strongly preferred. Must have 8+ years of compliance experience with expertise managing mutual fund and investment adviser compliance, preferably at a mutual fund company. Should have bBroad knowledge of US securities compliance, regulated business environments and key legal issues especially as they relate to trading, the investment process and the Investment Advisers Act of 1940 as applicable to institutional money managers.
 
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