Investment Management Attorney

The Hartford•Wayne, PA

1d•$150,000 - $200,000•Hybrid

About The Position

Hartford Funds is seeking a mid-level investment management attorney to join its Legal Department. The attorney will provide legal and regulatory support to Hartford Funds’ mutual funds, exchange-traded funds, non-exchange-listed closed-end funds, 529 college savings plans, separately managed account model portfolios, and other business lines. The Legal Department includes a General Counsel, five other attorneys, three paralegals, and an executive assistant. Attorneys have areas of focus while also working across a range of matters supporting business initiatives and responding to industry and regulatory developments. The attorney will support the Funds’ Boards of Directors/Trustees by coordinating meetings, preparing or reviewing materials, and participating in Board and Committee meetings. The role involves close interaction with fund counsel, independent legal counsel, independent auditors, colleagues across Hartford Funds, and senior leadership. The attorney will also contribute to product development, assess regulatory and industry developments, and collaborate on compliance policies and procedures. This is a highly visible position, with an expectation that the attorney will quickly take on increasing responsibility. The attorney reports to Hartford Funds’ Senior Vice President and Deputy General Counsel, who also serves as Corporate Secretary for the Funds and is responsible for planning and leading Board meetings. The position is based on a hybrid schedule: in-office Monday through Thursday, remote Fridays, and fully remote for four weeks per year during certain holiday periods.

Requirements

J.D. degree from an accredited law school.
Pennsylvania bar membership or eligibility for admission to the Pennsylvania bar as in-house counsel.
At least 5 years of experience as an investment management attorney addressing matters 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.
Understanding of the investment management industry and Hartford Funds’ business model and objectives.
Technical expertise in the regulatory framework governing the Funds’ operations and the firm’s business lines.
Business acumen and effective problem-solving skills to identify and resolve issues efficiently while supporting business objectives and client-service goals.
Risk awareness, including willingness to take appropriate risks and adherence to established risk-limiting policies and procedures.
Intellectual curiosity, decisiveness, and effective time management.
Executive presence that instills confidence among senior leadership and Fund Directors.
Confident oral presentation abilities and the ability to prepare accurate, complete, well-reasoned written communications.
Ability to collaborate in a team while independently managing significant portions of Board meeting preparation and other responsibilities.
Self-awareness, well-developed emotional intelligence, a sense of humor, and an unquestionable commitment to ethical conduct.

Nice To Haves

Familiarity with rules and regulations adopted by FINRA, the National Securities Exchanges, the CFTC, and the NFA applicable to investment companies.
Experience as an associate attorney in a law firm investment management practice group.
Experience as in-house counsel for an asset management firm or as a member of the U.S. Securities and Exchange Commission staff.
Broader investment management experience involving institutional separate accounts, separately managed accounts, private funds, and their advisers.
Familiarity with sub-advised fund structures.

Responsibilities

Oversee the preparation and publication of Board materials and participate in Board and Committee meetings.
Oversee corporate law matters related to the Funds.
Prepare disclosure documents, including registration statements, supplements, proxy statements, periodic shareholder reports, and other regulatory filings.
Draft, review, and negotiate service provider agreements.
Coordinate with outside counsel and independent legal counsel.
Respond to inquiries from shareholders, financial intermediaries, and regulatory authorities.
Monitor industry and regulatory developments and research potential resolutions to issues in support of business initiatives.
Provide advice on regulatory matters relating to the firm’s business activities.
Support product development initiatives, including launching new products and reorganizing or repositioning existing products.
Collaborate in developing and evaluating compliance policies and procedures.