Investment Management Attorney

The Hartford

. Provide legal and regulatory support to the Funds and Hartford Funds’ other business lines .

Posted 10/28/2026full-timeWayne • Pennsylvania • United StatesMid-LevelSenior💰 $150,000 - $200,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in investment management law, regulatory compliance, and corporate governance, with a strong ability to prepare and review legal documents and Board materials. Possesses effective problem-solving skills and the capacity to collaborate with various stakeholders while managing complex legal matters.

Highest-signal resume keywords

J.D. DegreeInvestment Management Attorney ExperienceInvestment Company Act KnowledgeRegulatory Framework ExpertiseBoard Meeting Preparation

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Applicant Tracking System Keywords

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Hard Skills

Regulatory Filings PreparationService Provider Agreements DraftingDisclosure Documents PreparationProxy Statements DraftingRegistration Statements Preparation

Soft Skills

Effective Problem-SolvingConfident Oral PresentationTime ManagementEmotional IntelligenceExecutive Presence

Certifications & Qualifications

Pennsylvania Bar Membership

Industry Keywords

Investment Advisers ActFINRA RegulationsCFTC RulesNFA RegulationsSub-Advised Fund Structures

About the role

Key responsibilities & impact

Provide legal and regulatory support to the Funds and Hartford Funds’ other business lines
Support the Funds’ Boards of Directors/Trustees by coordinating Board meetings and preparing or reviewing Board materials
Participate in Board and Committee meetings
Interact with fund counsel, independent legal counsel, independent auditors, colleagues, and senior leadership
Support product development initiatives, including launching new products and reorganizing or repositioning existing products
Evaluate regulatory and industry developments
Collaborate in developing and evaluating compliance policies and procedures
Oversee preparation and publication of Board materials
Oversee corporate law matters related to the Funds
Prepare disclosure documents, 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
Research potential resolutions to issues supporting business initiatives
Advise on regulatory matters relating to the firm’s business activities
Report to the Senior Vice President and Deputy General Counsel

Requirements

What you’ll need

J.D. degree from an accredited law school
Pennsylvania bar membership, or eligibility to be admitted to the Pennsylvania bar as in-house counsel
At least 5 years of experience as an investment management attorney
Experience 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
Familiarity with FINRA, National Securities Exchanges, CFTC, and NFA rules and regulations is preferred
Experience as an associate attorney within a law firm’s investment management practice group is strongly preferred
Experience as in-house counsel for an asset management firm or as a member of the U.S. Securities and Exchange Commission staff is welcomed
Broader investment management experience with institutional separate accounts, separately managed accounts, and private funds and their advisers is desired
Familiarity with sub-advised fund structures is a plus
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
Risk awareness and adherence to risk-limiting policies and procedures
Intellectual curiosity, decisiveness, and effective time management
Executive presence
Confident oral presentation abilities and ability to prepare accurate, complete, well-reasoned written communications
Ability to work collaboratively and independently manage significant portions of the Board meeting preparation process
Self-awareness, emotional intelligence, and sense of humor
Unquestionable commitment to ethical conduct

Benefits

Comp & perks

Hybrid work arrangement: in-office Monday through Thursday and remote Fridays
Fully remote basis for 4 weeks per year during certain holiday periods
Short-term or annual bonuses
Long-term incentives
On-the-spot recognition
Total compensation package