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About the role
- Field Compliance Consultant driving compliance and ethics across business lines at MassMutual. Engaging in inspections, providing compliance advice, and conducting training for financial advisors.
Responsibilities
- Partner with MassMutual Financial Advisors to proactively deliver highly valued, risk-based support promoting a culture of compliance and ethics in the Field across all business lines.
- Conduct fair and thorough inspections of agencies and draft tailored findings and meaningful risk-based remediation recommendations.
- Monitor, investigate, remediate, and report on highly complex matters within the Company.
- Conduct surveillance of securities business and follow up on findings with agencies.
- Employ knowledge and insights gained through agency inspection visits to fully understand agency infrastructure and enhance the quality of ongoing, risk-based guidance.
- Provide timely and practical compliance advice to members of the MMFA, including advice on handling producer misconduct and other general supervisory issues.
- Modify procedures or processes.
- Undertake fact gathering and investigation activities to monitor the effectiveness of implementation within areas of responsibility.
- Develop and deliver training that is tailored to the needs of MMFA Field Partners.
- Drive follow-up and remediation of potential findings arising from trend reporting and data analytics activity.
Requirements
- High school diploma or equivalent, General Education Diploma
- 4+ years of experience and understanding of financial and insurance products
- Series 7 and Series 24 at time of application
- Ability to travel to Agencies in the US. Anticipated travel obligations will be up to 6-10 weeks per year.
- Bachelor’s Degree, MBA, JD, and other designations such as CLU, ChFc , and CRCP preferred
- Series 53 preferred
- Excellent verbal and written communication skills
- Strong organizational skills
- Ability to collaborate and maintain strong working relationships
- Demonstrated ability to champion and adapt quickly to change
- Detail oriented with excellent analytical and problem-solving skills
Benefits
- Access to learning content on Degreed and other informational platforms
- Networking opportunities including access to Asian, Hispanic/Latinx, African American, women, LGBTQIA+, veteran and disability-focused Business Resource Groups
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