MassMutual Financial Group Head of Broker Dealer Trading 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.



Head of MMLIS Trading.

Reporting to the Chief Product and Services Officer, leads a 12 person team that own retail Trading (Fixed Income, Equities, Mutual Funds, Options, Margin and marketable Trade support). This includes close interaction with financial advisors, providing direction, coaching, and complaint handling. The role also represents Trading on MMLIS policy explanation and process improvement. . This role is located in Springfield, Massachusetts.


  • Escalation point for all Trading related issues - Training resource for Field force

  • Firm Controls functions such as Best execution for Fixed Income, Equities, MSRB Review, TRACE review, Commission control reports and ORF, Firms G40 MSRB

  • Directs problem solving and remediation in scenarios of needed error correction. Assures root cause fixes are accomplished.

  • Develop, implement and periodically review effective policies, procedures

  • CCA Rules engine - own the design and implementation of rules that pre-trade will detect transactions that do not meet internal policy and/or regulatory guidelines

  • Interacts with key business partners on projects and communicate aspects of trading to business partners.

  • Provide strategic input and make recommendations on initiatives and projects that require trading expertise such as DOL, merger etc.

  • Assist with said expertise by directing activity and inquiry in any Audit function

  • Represent Trading on policy committees. Lead the team toward continuous learning while managing service-like availability schedules and low tolerance for error.

  • Daily oversight of all functions owned by desk BASIC QUALIFICATIONS:

  • Advanced knowledge of brokerage products, trade department policies and provisions, and state and federal laws

  • Expertise in trade related regulatory requirements, Reg T, settlement, best execution, freeriding and commissions.

  • FINRA, MSRB, SEC, OCC regulatory knowledge and ability to interpret regulation and assess impact to operations

  • Working knowledge of Wealthscape, Envestnet, Thomson One and Bloomberg

  • 10+ years of relevant trade desk experience

  • Series 4, 7, 24, 53 and 63 required

  • Bachelor’s degree

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

  • Leadership skills that enable a training and learning environment while also enforcing the discipline and rigor of an operations and service function with little tolerance for error. PREFERRED QUALIFICATIONS

  • Must have Series 4,7,24,53,63 with 55 and 99 preferred.

Ranked No. 77 in the annual FORTUNE ® 500 Ranking (FORTUNE ® Magazine, June 2017) 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.


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.

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MassMutual is an Equal Employment Opportunity employer Minority/Female/Sexual Orientation/Gender Identity/Individual with Disability/Protected Veteran. We welcome all persons to apply.

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)