Chief Compliance Officer
At Hartford Funds, we believe in human-centric investing: a unique approach that uses research to understand the emotional relationship between advisors, their clients, and their investments, then creates solutions and advisor tools designed to serve those investors and their varying mindsets. Human-centric investing goes beyond performance to strengthen advisor-client relationships by helping investors better realize their true life goals.
FINRA registered financial securities compliance executive with regulatory and risk management expertise across multiple disciplines, including broker-dealer, investment advisor, investment company and transfer agent operations. Ability to leverage professional experience as a securities regulator to effectively implement and manage a compliant work environment. Team player with exceptional communication and interpersonal skills. Ability to successfully foster and develop healthy, trust based relationships within cross functional teams, across organizational disciplines and at all levels of an organization. Excellent leadership skills with a pattern of consistently and successfully assuming increasing levels of responsibility. Highlights: Broker-Dealer • Investment Management • Mutual Funds• Alternative Pooled Vehicles • UIT • Transfer Agent • Investment Advisory •Risk Management • Compliance Policies and Procedures • Regulatory Examination Management • Marketing Review Compliance
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