Sr Spec Mkt Conduct Compl

 Business Overview:
As a leader in insurance, asset management and financial services, The Hartford offers professionals enormous possibilities for growth.  For almost 200 years, The Hartford has built an increasingly valuable franchise, grounded in a commitment to financial strength and stability, and the highest standards of honesty, integrity and respect for individuals.  Recognized for operational excellence and superior customer service, we deliver innovative solutions because we attract and develop creative team members who are always thinking ahead.
 
We are looking for an engaging, energetic, dynamic professional to join our Individual Life Division in Hartford Life’s U.S. Wealth Management Group. Our U.S. Wealth Management Group is made up of six units, each focused on providing a solid lineup of products and solutions that help our business and our individual clients achieve their financial goals. Each unit shares a common goal: to be a leader in their respective markets.
 
When it comes to competition, our U.S. Wealth Management Group is recognized for ranking:
#1 in Variable Annuity AUM #2 in Variable Life Sales #3 in Structured Settlements #8 in Industry Non Proprietary Mutual Fund Sales Top 10 Provider in New 401(k) Plans Sold Top 5 in 457 PlansIndividual Life
The individual life insurance team offers a broad product portfolio of variable universal life, universal life, whole life, and term insurance.  Our products provide liquidity for estate taxes, income replacement for families, protection and tax-preferred benefits for small businesses, and more. These products are distributed through a wide network of national and regional broker-dealer organizations, banks, and independent financial advisors, as well as through independent life and property-casualty agents and Woodbury Financial Services, a subsidiary retail broker-dealer.
2007 highlights:
Leader in variable universal life insurance. Record-breaking sales of $286 million. Life insurance in force exceeded $179 billion, an increase of 9%. Launched innovative Life Access Rider. Founding sponsor of the Kay Yow/WBCA Cancer Foundation and lead sponsor of Casting for Recovery, two foundations focused on research and recovery efforts associated with breast cancer. Award-winning service, DALBAR Awards recipient
 
 
Sr. Market Conduct Compliance Specialist
 
WHAT ARE THE RESPONSIBILITIES OF THE POSITION?
 
Successful incumbents will be responsible for:
 
Creating and maintaining effective relationships with a broad network of business partners to fulfill MCE and other regulatory requests. Managing a large volume of data and hard copy information to ensure comprehensive and consistent responses to MCE and other regulatory requests. Recognizing trends in Market Analysis, as surfaced through the MCE process, and informing management of potential compliance exposures. Developing and implementing process enhancements to promote continuous quality improvement in MCE response fulfillment. Assisting manager to develop tracking databases for Regulatory Response Team functions and internal reports to senior management team. Assisting Regulatory Response Teammates with Regulatory Reporting and Complaint Handling review, as necessary. Collaborating with Regulatory Response Teammates and business partners to develop and implement corrective actions in response to MCE findings Referring topics to Compliance colleagues for development of training and best practices, as needed. Handling sensitive and confidential information appropriately and in accordance with company policies. Taking immediate and independent action when needed. Displaying courage, willingness to take risks, and readiness to make decisions within appropriate boundaries. Encouraging others to express and exchange ideas and information openly.WHAT ARE WE LOOKING FOR?
 
Requirements:
5+ year’s financial services experience, complaint resolution preferred. Broad understanding of business operations and of the related legislative, regulatory and in-house company policy requirements associated with them Excellent communication skills, both verbal and written Research and analytical ability Leadership skills Organizational skills Flexibility College degree or comparable experience Series 6 and 26 license required (or obtained within six months of hire) Potential growth opportunity to a Tier 7