MassMutual Financial Group Compliance/Control Consultant in Springfield, Massachusetts

Since 1851, MassMutual’s commitment has always been to help people protect their families, support their communities, and help one another. This is why we want to inspire people to Live Mutual. We at MassMutual value diversity and inclusion. We’re people helping people.

A career with us means you will work alongside exceptional people and be empowered to reach your professional and personal goals. Our employees are the foundation of what makes MassMutual a strong, stable and ethical business. We seek and value unique and varied perspectives and experiences because we believe we are stronger when all voices are heard. We invite you to bring your bright, innovative ideas to MassMutual as we continue to help millions of Americans rely on each other.

Together, we’re stronger.

Description

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The Compliance & Controls Professional assists the Broker-Dealer’s Trade Desk in mitigating risk for the firm and its partners. This is accomplished by accurate, timely completion of the majority of the firm’s Supervisory Control Procedures.

THE IDEAL CANDIDATE

has compliance or supervision experience with a FINRA registered Broker-Dealer and/or SEC Registered Investment Advisor

  • is able to use knowledge and skills to monitor advisory and brokerage assets, complete regulatory reporting and assist the firm in maintaining proper compliance with company policy, FINRA, SEC, and state regulatory rules with limited supervision

  • experienced in Best Execution, TRACE, MSRB, Blotter and multiple product reviews

  • has the ability to identify opportunities for operational efficiency and productivity improvements to mitigate financial, reputational and regulatory risk and to update processes with management approval

  • has the flexibility to work both independently and collaboratively within a diverse team environment

  • is self-motivated and has personal accountability to achieve career development by leveraging resources available

  • is motivated to understand the “why” behind a situation, has exceptional time management skills, and a strong sense of ownership

RESPONSIBILITIES:

  • Review trade activity, money movement, and supporting documentation for standard brokerage and RIA platforms to ensure compliance with policies, procedures, and regulatory requirements in relation to Supervisory Controls

  • Adhere to control systems to prevent or deal with violations of legal guidelines and internal policies

  • Enhancement of back office processes, risk mitigation through research, and implementation/management of operational and supervisory procedures

  • Communicate effectively, both orally and in writing, with internal and external customers

  • Discuss compliance concerns or potential violations with representatives and provide guidance on relevant firm and regulatory policies

  • Confront conflict and difficult issues in a professional, assertive, and proactive manner

  • Attend to detail while maintaining a big picture perspective

  • Other duties as assigned, including other supervisory and/or operations functions

QUALIFICATIONS :

  • College Degree

  • Basic proficiency with Microsoft Office (Excel,Word, PowerPoint)

  • 4 years of relevant experience

  • FINRA Series 7 license required within 90 days of hire

  • FINRA Series 24 required within 180 days of hire

  • Demonstration of management courage; able to take a position and influence management

  • Critical Thinking: thoughtful process of analyzing data and problem solving data to reach a well-reasoned solution

  • Ability to partner effectively to drive our culture and execute on our common goals

  • Appreciation and understanding of the financial services industry in order to make sound business decisions

  • Openness to new ways of thinking and acquiring new skills to retain a competitive advantage

  • Candidate must have the ability to work in the US without requiring sponsorshipOpportunities

  • Option to obtain additional licenses: FINRA Series 4 and Series 53

  • Exposure to multiple business areas within MMLIS and MassMutual

  • Option to work on special projects both or ad-hoc assignments within the team and partnered with various business units

  • Individual dedicated time with team manager on a monthly basis

  • Additional training as appropriate to career development and exploration

Ranked No. 93 in the annual FORTUNE ® 500 Ranking (FORTUNE ® Magazine, June 2018) and recognized as a World’s Most Ethical Company by Ethisphere, MassMutual is guided by a single purpose: We help people secure their future and protect the ones they love. As a company owned by our policyowners, we are defined by mutuality and our vision to put customers first. It’s more than our company structure – it’s our way of life. We are a company of people protecting people. Our company exists because people are willing to share risk and resources, and rely on each other when it counts. At MassMutual, we Live Mutual.

CORE VALUES

Focus on the Customer: We understand our customers well and look for every opportunity to deliver an experience that is clear, easy, personal, human, empowering and trustworthy.

Act with Integrity: We deliver on our promises by being open, honest and humble and by adhering to the letter and spirit of applicable laws, rules, regulations and company policies.

Value People: We respect and learn from each other’s diverse backgrounds, experiences and ideas. We engage and develop people to their greatest potential.

Work Collaboratively: We work together to achieve results by actively listening, seeking, understanding and creating solutions as a unified team driving toward one company, one culture, one brand.

Achieve Results: We focus on winning by exceeding expectations and getting better – everyone, every day.

For more information, visit www.massmutual.com or find us on Facebook, Twitter, LinkedIn, YouTube, Google+, Instagram and Pinterest.

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.

At MassMutual, we’re fostering an inclusive and dynamic environment where our employees are valued for who they are and can build successful careers. For us, diversity and inclusion is more than a goal, it’s the only way forward.

• 100% rating on the Human Rights Campaign Corporate Equality Index (2018)

• National Association for Female Executives Top Company for Executive Women (2018)

• Disability Equality Index® (DEI) Best Place to Work for Disability inclusion (2018)

• Working Mother Media 100 Best Company (2017)

• Military Friendly Employer (2018)