The Hartford · 12 hours ago
Compliance Analyst
Wayne, PA
Full-time
Hybrid
Entry, Mid Level
$65K/yr - $90K/yr
2+ years expThe Hartford is an insurance company committed to making a difference, and they are seeking a motivated Compliance Analyst to support its broker-dealer, Hartford Funds Distributors, LLC. The Compliance Analyst will manage compliance monitoring programs, oversee reporting and recordkeeping, and develop relationships with sales personnel to ensure regulatory alignment and internal policy adherence.
Auto InsuranceCommercial InsuranceEmployee BenefitsFinanceFinancial ServicesInsuranceLife InsuranceProperty Insurance
Responsibilities
Serve as the process owner of all aspects of HFD’s non-cash compensation monitoring program
Independently manage all processes related to monitoring gifts and meals & entertainment expenditures against established policy thresholds. This will require that the Compliance Analyst:
Maintain non-cash compensation policy and related procedures/reference materials, revising as appropriate
Perform monitoring of gifts and meals & entertainment provided using various systems and applications. Collaborate with internal stakeholders to identify opportunities for improvements and to implement solutions
Run reports, identify and investigate exceptions and analyze trends; document findings clearly and communicate recommendations as appropriate
Investigate incidents of non-compliance related to non-cash compensation. Communicate findings to sales/supervisors and agree on appropriate remediation
Review and approve payments to third party firms related to marketing and other distribution activities
Assist with reporting and other tasks/analysis related to compliance infractions, office inspections; maintain all books & records relevant to coverage area in an efficient and organized manner
Develop relationships with sales personnel/line of business as point person for non-cash compensation question and other compliance related matters
Monitor electronic communications to detect and address potential compliance issues
Deliver compliance training to new employees and to keep staff apprised of changes to regulatory frameworks and internal company policies
Perform periodic and targeted testing both within and outside of the scope of primary coverage area as part of the firm’s annual compliance testing program. Summarize findings and communicate results; Identify areas requiring remediation; Make recommendations and communicate findings
Support execution of office inspection program, as appropriate
Participate in, and perform, other compliance functions as needed
Qualification
Required
Bachelor's degree in finance, business, or equivalent experience
2–4 years in financial services environment; compliance experience preferred
FINRA Series 7 or willingness to obtain within 6 months of hire
Strong analytical skills; ability to manipulate and decode large amounts of data; ability to interpret and apply rules and policies to practical business situations
Strong technical aptitude; comfort working with a variety of systems and software platforms
Strong organizational, time management skills
Excellent oral and written communication, relationship building/interpersonal skills
Detail-oriented, well-organized self-starter with high energy, creativity and ability to work independently with minimal supervision
Preferred
Compliance experience preferred
Experience working with Concur, Sales Force and MyComplianceOffice (“MCO”) preferred
Benefits
Short-term or annual bonuses
Long-term incentives
On-the-spot recognition
Company
The Hartford
The Hartford is an industry leading provider of property and casualty insurance, group benefits and mutual funds.
10001+ employees
Funding
Current Stage
Public CompanyTotal Funding
unknown1995-12-15IPO
Leadership Team
Christopher Swift
Chief Executive Officer
Recent News
2025-12-09
2025-12-08
EIN Presswire
2025-12-02
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