Regulatory Operations Consultant at MassMutual

Job DescriptionThe OpportunityAs a Regulatory Operations Consultant you will be responsible for mitigating risk for the firm by evaluating exception reporting to ensure adherence to the firm’s supervisory controls as well as state, FINRA, and SEC rules and regulations. Once review is complete, ensure evaluation is reflected in comprehensive documentation for each case. This is an excellent opportunity to collaborate with several different areas within the firm, as well as with our partners in the field. You will be part of a team that encourages your growth, supports your ambitions and makes it a priority to reach your goals.The TeamThe Supervisory Control Procedures Team is a multi-tiered business unit that assists the Broker-Dealer 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. Members of the team demonstrate accountability, agility, a dedication to be inclusive, a strong business acumen, and will show courage, even in the most difficult situations. We highly value strong communication skills, a passion for learning, leadership traits, resilience, and self-awareness.The ImpactWe are looking for an individual who is self-motivated, accountable, and focused on development. You will leverage resources available, identify opportunities for operational efficiency and to mitigate financial, reputational, and regulatory risk, and update processes with management approval. You will also demonstrate the flexibility to work both independently and collaboratively within a diverse team environment. Key responsibilities include: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 ControlsAdhere to control systems to prevent or deal with violations of legal guidelines and internal policiesEnhancement of back-office processes, risk mitigation through research, and implementation/management of operational and supervisory proceduresResponds to complex questions from internal and external customers regarding program guidelines and administrative proceduresCoordinates and delivers training as neededConfront difficult issues and conflict in a professional, assertive, and proactive mannerAttend to detail while maintaining a big picture perspectiveOther duties as assigned, including other supervisory and/or operations functionsThe Minimum QualificationsHigh School Diploma or GEDSeries 7 at time of application or must obtain within 6 months Series 24 at time of application or must obtain within 6 months 3+ years experience in the financial services industry 1+ year of experience with brokerage products, program policies and provisions, and state and federal law1+ year of experience with Microsoft Office (Excel, Word, PowerPoint) If candidate does not currently hold FINRA Licenses at time of application, then due to the nature of this position, as a part of our background check process, candidates must be able to pass a non-registered fingerprint background check to qualify as a fingerprinted person under FINRA The Ideal QualificationsBachelor's DegreeSeries 7 and 24 at time of applicationCompliance or supervision experience with a FINRA registered Broker-Dealer and/or SEC Registered Investment AdvisorCritical Thinking: thoughtful process of analyzing data and problem-solving data to reach a well-reasoned solutionAbility to partner effectively to drive our culture and execute on our common goalsAppreciation and understanding of the financial services industry in order to make sound business decisionsAble 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 supervisionAbility to identify opportunities for operational efficiency and productivity improvements to mitigate financial, reputational and regulatory risk and to update processes with management approvalSelf-motivated and has personal accountability to achieve career development by leveraging resources availableWhat to Expect as Part of MassMutual and the TeamRegular meetings with the Supervisory Control Procedures TeamFocused one-on-one meetings with your managerNetworking opportunities including access to Asian, Hispanic/Latinx, African American, women, LGBTQ, veteran and disability-focused Business Resource GroupsAccess to learning content on Degreed and other informational platformsYour ethics and integrity will be valued by a company with a strong and stable ethical nosiness with industry leading pay and benefits#LI-DK1MassMutual is an equal employment opportunity employer. We welcome all persons to apply.If you need an accommodation to complete the application process, please contact us and share the specifics of the assistance you need. California residents: For detailed information about your rights under the California Consumer Privacy Act (CCPA), please visit our California Consumer Privacy Act Disclosures page.