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Government and Government Relations Attorney in Hartford, CT

Hartford Investment Management Company (HIMCO) Jun 16,2017 Oct 29,2016 Location Hartford CT
This job is expired...

In-House

Attorney

Government and Government Relations

Min 12 yrs required

Profile

Chief Compliance Officier Duties: Promote a compliance culture. Periodic review and revision of policies and procedures to ensure that they are current and complete - includes identification of regulatory developments that may lead to changed policies. Oversight of a review and testing process to verify adherence to procedures. Develop effective working relationships with management, portfolio managers, traders, business partners and others. Assist with preparation and filing of Form ADV and other regulatory disclosures. Develop a strong working relationship with the legal and compliance staff, and manage a team of compliance professionals. Review marketing and sales literature, performance presentations, and advertising materials related to investment advisor and mutual fund business for compliance with applicable laws and regulations. Develop and implement an effective training regime regarding regulations, policies and procedures. Maintain a current working knowledge of all relevant regulations, including but not limited to, the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934, the Sarbanes-Oxley Act, and all relevant insurance and broker-dealer regulations. Interact with the SEC and other regulators in connection with regulatory exams and/or other requests for information. Expand and inspire ethical leadership across the enterprise.

Qualification and Experience

Qualifications: JD Degree preferred. 12+ years of compliance experience in the investment advisory business required. Thorough and intimate working knowledge of the investment advisor, investment company and insurance regulatory environments. Proven experience: Managing a team – developing a creative and performing, effective and efficient team; identifying the developmental needs of others and coaching, mentoring, or otherwise helping others to improve their knowledge. Serving as a strategic business partner to senior leadership; Developing constructive and cooperative working relationships with others, and maintaining them over time. Working within a changing environment while maintaining direction and structure. Effectively communicating and working through challenging situations with multiple constituencies, including ability to work through potential conflict situations while maintaining continuing productive relationships. Working effectively across multiple organizations and establishing a cooperative team environment. With, and thorough knowledge of, fixed income and equity securities, and derivative instruments. Identifying gaps or risk exposures in operations that span multiple organizations and developing and implementing strong checks-and-balances. Understands business issues and makes sound business judgments; implements and follows through on strategies to deliver results in a timely fashion. Desired: Experience in the insurance industry a “plus”. Strategic and Systems Thinking – Ability to consider the interdependence of organizational systems, processes and stakeholders in formulating solutions; able to spot opportunities to reveal cross- company/business unit issues and synergies. Ability to leverage organization, business and financial knowledge. Excellent written and verbal communication skills with an emphasis on influencing - outstanding skills to distill complex problems to understandable actionable strategy and lead change.

Additional info

Ref - 1602026

Company info