Compliance Consultant

The Opportunity

As a Compliance Consultant, you will be a part of a dynamic and collaborative team. Your role includes assessing compliance reporting requirements for individuals associated with MML Investor Services, LLC. This covers compliance attestations, political contributions, third-party product sponsor reimbursements, MMFA agency sales campaigns, manual accounts, private securities transactions, and personal securities accounts. Additionally, you will perform moderately complex compliance evaluations, conduct oversight activities, adjust procedures, and pinpoint key risks to senior leaders. This position is based in Springfield or Boston and follows a hybrid work schedule.

The Team

The Education, Policy and Agency Relations team collaborates with a variety of stakeholders to promote a culture of compliance through comprehensive education, robust policies and procedures and seamless service delivery. By prioritizing relationship building and transparent communication, we strive to cultivate a collaborative environment that equips our customers with the knowledge, tools, and resources they need to navigate regulatory landscapes with integrity and success.

The Impact

As a Compliance Consultant, your responsibilities will include, but are not limited to the following:

• Compliance Reporting: Evaluate compliance reporting obligations for various activities such as compliance attestations, political contributions, third-party reimbursements, agency sales campaigns, manual accounts, private securities transactions, and personal securities accounts.
• Project Guidance: Work with guidance on more complex projects and conduct moderately complex compliance evaluations, oversight activities, and reporting.
• Procedure Modifications: Modify procedures or processes and undertake fact gathering and investigation activities to monitor effectiveness of controls.
• Analytical Skills: Strong analytical, problem-solving, and decision-making skills and ability to interpret and apply complex and changing compliance requirements.
• Risk Reporting: Identify, compile, and interpret key risks and trending data for reporting to senior leaders.
• Communication and Relationships: Outstanding ability to articulate, present, and engage with diverse groups, build and sustain relationships, and act as the team’s representative on compliance issues.

The Minimum Qualifications

• Bachelor’s degree or relevant broker dealer or 3+ years of compliance experience required.
• FINRA Principal Securities Registration required, Series 6 and Series 26 minimum or willingness to obtain registrations within 90 days of hire.

The Ideal Qualifications

• Series 7 and 24 preferred or willingness to obtain registrations within 90 days of hire.
• Capability and readiness to identify regulatory risks and weaknesses in supervisory controls and raise these issues to mid and senior-level management.
• Ability and willingness to develop innovative and actionable solutions that meet regulatory requirements while balancing the needs of our customers.
• Exceptional written and verbal communication skills with the ability to generate precise and thorough documentation.
• Strong analytical abilities, enabling the effective identification, communication, and resolution of various potential compliance risks.
• Skill in managing multiple and changing priorities.
• Outstanding interpersonal, negotiation and risk assessment competencies.
• Ability to deal effectively with internal clients across all levels and areas of the organization.
• Exhibits a strong business acumen.

What to Expect as Part of MassMutual and the Team

• Regular meetings with the Education, Policy and Agency Relations Team
• Focused one-on-one meetings with your manager
• Access to mentorship opportunities
• Networking opportunities including access to Asian, Hispanic/Latinx, African American, women, LGBTQIA+, veteran and disability-focused Business Resource Groups
• Access to learning content on Degreed and other informational platforms
• Your ethics and integrity will be valued by a company with a strong and stable ethical business with industry leading pay and benefits

#LI-FT1

MassMutual is an Equal Employment Opportunity employer Minority/Female/Sexual Orientation/Gender Identity/Individual with Disability/Protected Veteran. We welcome all persons to apply. Note: Veterans are welcome to apply, regardless of their discharge status.

If you need an accommodation to complete the application process, please contact us and share the specifics of the assistance you need.

EEO Statement (Opens in new window)
MassMutual will accept applications on an ongoing basis until such time as a candidate has been offered employment. The job description includes the main duties of this position, which may evolve over time. You may be required to perform other duties not listed.

It is unlawful in Massachusetts to require or administer a lie detector test as a condition of employment or continued employment.

Salary Range: $86,200.00 – $113,100.00

Apply here