Counsel (Investment Management Attorney)

You are a driven and motivated problem solver ready to pursue meaningful work. You strive to make an impact every day & not only at work, but in your personal life and community too. If that sounds like you, then you've landed in the right place.

“Hartford Funds” is the marketing name for Hartford Funds Management Group, Inc. and its subsidiary companies, including its registered investment advisers, broker-dealer, and transfer agent subsidiaries.  Hartford Funds is the sponsor of the Hartford Funds Family of Funds (the “Funds”), which is a complex of mutual funds, exchange-traded funds, and non-exchange listed closed-end funds.  Hartford Funds also manages 529 college savings plans and separately managed account model portfolios.  As of July 30, 2021, Hartford Funds had approximately $150 billion in assets under management.

Hartford Funds is seeking an attorney with investment management experience to join its Legal Department, which currently includes a General Counsel, five other attorneys, three paralegals, and an executive assistant.  Hartford Funds’ team of legal professionals collectively has deep industry experience upon which the firm routinely relies in managing the Funds and conducting its business operations.  The team leverages that experience by substantively addressing legal matters, often through collaboration as a team, and seeks the assistance of outside counsel where appropriate to fully support the business.  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 would report to the Senior Vice President and Deputy General Counsel of Hartford Funds.   The attorney can expect to have opportunities to be engaged in a wide-range of matters related to Hartford Funds day-to-day management of the Funds and assume increasing levels of responsibility.

The attorney will be responsible for, among other things, supporting the Funds’ Boards of Directors/Trustees (the “Board”), preparing or reviewing disclosure documents, supporting product development initiatives, reviewing sales and marking materials, and assisting with compliance and regulatory matters. 

The attorney will have the opportunity to participate in Board and Committee meetings and 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 of compliance policies and procedures.

Specific Responsibilities of the Role: 

In addition to other responsibilities, the attorney will be responsible for:

• Preparing Board materials and participating in Board and Committee meetings;
• Overseeing corporate law matters related to the Funds;
• Preparing Fund disclosure documents, including registration statements, supplements, proxy statements, periodic reports to shareholders, and other regulatory filings;
• Drafting, reviewing, and negotiating Fund service provider agreements;
• Coordinating with Fund counsel and legal counsel to the Independent Directors;
• 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.
• Experience with matters arising under the Investment Company Act, Investment Advisers Act, Blue Sky laws, and FINRA rules and regulations applicable to member firms distributing shares offered by investment companies.  Familiarity with Commodity Futures Trading Commission rules applicable to investment companies also is preferred.
• Experience supporting mutual funds and mutual fund boards; experience serving as an associate attorney within a law firm’s investment management practice group is strongly preferred.  Hartford Funds would particularly welcome candidates with experience working within an in-house legal department or as a member of the U.S. Securities and Exchange Commission staff.

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 firm’s business.
• 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 ability to prepare accurate, complete, and well-reasoned written communications that present information in a clear, effective and informative manner.
• The ability to be collaborative and to contribute without routinely seeking credit or engaging in self-promotion.
• Self-awareness, well-developed emotional intelligence, and sense of humor.
• Unquestionable commitment to ethical conduct.

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:

$175,000 - $225,000

Benefits

Our company’s success is due to our employees’ dedication and passion for their work. They are our greatest asset. That’s why we are committed to offering employees and their families a comprehensive benefits package and award-winning well-being programs. By helping our employees achieve their full potential, we unlock our own. Visit https://www.thehartford.com/careers/benefits for details.

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

Counsel - 87LA4E