Counsel - 87LA4E
Join our team as we help shape the future.
Opportunity: Hartford Funds is seeking a mid-level investment management attorney (5+ years of experience) to join its Legal Department, which currently includes a General Counsel, five other attorneys, three paralegals, and an executive assistant. Although attorneys in the Hartford Funds Legal Department have areas of focus and certain areas of specialization, each attorney has opportunities to work on a wide range of matters in support of business initiatives and in response to industry and regulatory developments.
Overview of the Role: The attorney filling this position can expect to be engaged in a wide range of matters related to providing legal and regulatory support to the Funds and Hartford Funds' other business lines.
Among other things, the attorney will provide support for the Funds' Boards of Directors/Trustees (the "Board") by coordinating Board meetings, preparing or reviewing Board materials, and participating in Board and Committee meetings. The attorney will interact closely with fund counsel, independent legal counsel, independent auditors, and colleagues throughout the Hartford Funds organization and its senior leadership team. In addition, the attorney will have opportunities to play a key role in connection with product development initiatives, including the launch of new products or reorganization or repositioning of existing products, evaluating regulatory and industry developments, and collaborating in the development and evaluation of compliance policies and procedures.
The attorney filling this position will report to the Senior Vice President and Deputy General Counsel of Hartford Funds, who also serves as the Corporate Secretary for the Funds and is responsible for planning and leading the Board meetings. This is a highly visible role, and the attorney will be expected to rapidly assume increasing levels of responsibility.
Specific Responsibilities of the Role: In addition to other responsibilities, the attorney will be responsible for:
- Overseeing the preparation and publication of Board materials and participating in Board and Committee meetings;
- Overseeing corporate law matters related to the Funds;
- Preparing disclosure documents, including registration statements, supplements, proxy statements, periodic reports to shareholders, and other regulatory filings;
- Drafting, reviewing, and negotiating service provider agreements;
- Coordinating with outside counsel and independent legal counsel;
- Responding to inquiries from shareholders, financial intermediaries, and regulatory authorities;
- Maintaining awareness of industry and regulatory developments and researching potential resolutions to issues in support of business initiatives;
- Providing advice on regulatory matters relating to the firm's business activities.
Qualifications and Experience:- J.D. degree from an accredited law school and Pennsylvania bar membership (or eligible to be admitted to the Pennsylvania bar as an in-house counsel).
- At least 5 years of experience as an investment management attorney addressing matters arising under the Investment Company Act, Investment Advisers Act, and other U.S. federal securities laws applicable to registered investment companies, private funds, and investment advisers. Familiarity with the rules and regulations adopted by Financial Industry Regulatory Authority, the National Securities Exchanges, Commodity Futures Trading Commission, and National Futures Association applicable to investment companies also is preferred.
- Experience serving as an associate attorney within a law firm's investment management practice group is strongly preferred. Additionally, Hartford Funds particularly welcomes candidates with experience working as in-house counsel for an asset management firm or as a member of the U.S. Securities and Exchange Commission staff.
- In addition to experience in working with registered funds, broader investment management experience, such as working with institutional separate accounts, separately managed accounts, and private funds and their advisers is desired.
- Familiarity with sub-advised fund structures is a plus.
Skills and Attributes: The attorney successfully filling this role should demonstrate:
- An understanding of the investment management industry in general and Hartford Funds' business model and objectives in particular.
- Technical expertise in the regulatory framework governing the Funds' operations and the firm's business lines.
- The business acumen and effective problem-solving skills necessary to identify and resolve issues in an efficient and effective manner that helps Hartford Funds achieve its business objectives and client-service goals.
- Risk-awareness; be willing to take appropriate risks and unwilling to deviate from established risk-limiting policies and procedures.
- Intellectual curiosity coupled with decisiveness and effective time management.
- Executive presence that instills confidence among Hartford Funds' senior leadership and Fund Directors.
- Confident oral presentation abilities and the ability to prepare accurate, complete, and well-reasoned written communications that present information in a clear, effective, and informative manner.
- The ability to work collaboratively in a team environment while also independently managing significant portions of the Board meeting preparation process and other areas of responsibility.
- Self-awareness, well-developed emotional intelligence, and sense of humor.
- Unquestionable commitment to ethical conduct.
Title: Commensurate with experience.
Work Location: Hartford Funds operates on an in-office basis Monday through Thursday (except holidays) and on a remote basis on Fridays. In addition, Hartford Funds operates on a fully remote basis 4 weeks per year during certain holiday periods.
CompensationThe 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:
$150,000 - $200,000
