Compliance Consultant

5 days ago

Hartford CT United States MassMutual Full time

Compliance Consultant

Investment Advisory and Financial Planning Compliance Team

Full-Time (Hybrid - 3 days/week in office)

Boston, MA or Springfield, MA

The Opportunity

As a Compliance Consultant, you will be a part of a dynamic and collaborative team focused on assessing MML Investor Services, LLC’s (MMLIS) compliance with investment advisory and broker-dealer requirements.  Specifically, this role manages MMLIS’ conflicts identification and mitigation program (the “Conflicts Program”).  In collaboration with business partners (including senior leaders), the Compliance Consultant is responsible for identification of new conflicts, proposing mitigations (including disclosures), managing the MMLIS Conflicts Committee meetings, maintaining the MMLIS Conflicts Catalogue, and administering an annual conflicts certification. 

In addition to the above, the Compliance Consultant will provide compliance consulting to our business partners related to various products, services, and platforms to ensure compliance with regulatory requirements, and drafts certain key regulatory reports, including the firm’s annual 206(4)-7 report and 2020-02 retrospective report.

This position is based in Springfield or Boston and follows a hybrid work schedule.

The Team

The Investment Advisory and Financial Planning Compliance team collaborates with a variety of stakeholders to promote a culture of compliance with the Securities Exchange Act of 1944 and Investment Advisers Act of 1940, and ERISA standards, as applicable, as well as FINRA, SEC, DOL and state regulatory requirements.  We seek to offer clear and actionable compliance guidance and influence business partners to ensure they have the knowledge and tools necessary to navigate the complex regulatory landscapes with integrity and success.

The Impact:

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

  • Administration of the Conflicts Program: Identify, evaluate, and propose mitigations for new or existing conflicts related to MMLIS’ activities as a broker dealer and investment adviser.  Coordinate periodic Conflicts Committee meetings, managing the agenda, offering compliance guidance to senior leaders as needed. 
  • Maintain Conflicts Catalogue:  Maintain the MMLIS broker-dealer and investment advisory Conflicts Catalogue, ensuring its ongoing accuracy, including stated mitigation efforts.  Coordinate associated disclosure obligations with members of the Law Department.
  • Project Guidance: Work independently on complex projects related to new products, services, platforms, and business initiatives, primarily as it relates to compliance with the Investment Advisers Act of 1940.  Knowledge of and experience with ERISA/DOL standards, including fiduciary standards is a plus but not required.

The Minimum Qualifications

  • Bachelor's degree and 5+ years of compliance experience required.
  • 5+ years of experience with relevant Investment Advisers Act, Exchange Act, and FINRA, DOL, and SEC regulatory requirements.
  • Due to the nature of this position, as 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 Qualifications

  • Series 7 & 24
  • The ability to work independently.
  • Experience with conflicts mitigation programs.
  • Advanced Degree (e.g. JD) and 10+ years experience preferred.
  • Exceptionally strong business acumen.  The successful candidate must be able to clearly and effectively communicate compliance issues to business partners (including senior business partners) and to influence business decisions.
  • Exceptional written communication skills.
  • Strong analytical abilities that can assess both risks and the effectiveness of compliance controls.  

What to Expect as Part of MassMutual and the Team

  • Regular meetings with the team
  • Focused one-on-one meetings with your manager
  • Access to mentorship opportunities
  • Networking opportunities including access to Asian, Hispanic/Latinx, African American, women, LGBTQ, 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.

  • Compliance Consultant

    5 days ago

    Hartford, United States MassMutual Full time

    Compliance Consultant Investment Advisory and Financial Planning Compliance Team Full-Time (Hybrid - 3 days/week in office) Boston, MA or Springfield, MA The Opportunity As a Compliance Consultant, you will be a part of a dynamic and collaborative team focused on assessing MML Investor Services, LLC’s (MMLIS) compliance with investment advisory and...

  • Compliance Consultant

    4 days ago

    Hartford, United States MassMutual Full time

    Compliance ConsultantInvestment Advisory and Financial Planning Compliance TeamFull-Time (Hybrid - 3 days/week in office)Boston, MA or Springfield, MAThe OpportunityAs a Compliance Consultant, you will be a part of a dynamic and collaborative team focused on assessing MML Investor Services, LLC’s (MMLIS) compliance with investment advisory and...

  • Compliance Consultant

    5 days ago

    HARTFORD, United States MassMutual Full time

    Compliance ConsultantInvestment Advisory and Financial Planning Compliance TeamFull-Time (Hybrid - 3 days/week in office)Boston, MA or Springfield, MAThe OpportunityAs a Compliance Consultant, you will be a part of a dynamic and collaborative team focused on assessing MML Investor Services, LLC’s (MMLIS) compliance with investment advisory and...

  • Compliance Consultant

    1 month ago

    Portland, OR, United States Covenant Technology Solutions, Inc. Full time

    The cybersecurity Compliance Consultant provides regulatory, administrative, and educational support for the implementation of cybersecurity frameworks and compliance issues for clients wishing to implement one of Covenant Global's key security frameworks. Compliance Consultant Duties & Responsibilities Ensure compliance with all applicable laws and...

  • Compliance Consultant Relationship Manager

    3 days ago

    Hartford, Connecticut, United States MassMutual Full time

    Job Title:Relationship Manager/Compliance ConsultantJob Summary:We are seeking a highly skilled Relationship Manager/Compliance Consultant to join our team at MassMutual. As a key member of our Relationship and Strategic Project Management team, you will be responsible for delivering a positive customer experience by providing holistic compliance solutions...

  • Compliance Consultant

    5 days ago

    Springfield, MA, United States MassMutual Full time

    Compliance ConsultantInvestment Advisory and Financial Planning Compliance TeamFull-Time (Hybrid - 3 days/week in office)Boston, MA or Springfield, MAThe OpportunityAs a Compliance Consultant, you will be a part of a dynamic and collaborative team focused on assessing MML Investor Services, LLC’s (MMLIS) compliance with investment advisory and...

  • Relationship Manager/Compliance Consultant

    3 weeks ago

    Hartford, United States MassMutual Full time

    Relationship Manager/Compliance Consultant Relationship and Strategic Project Management Team, Compliance and Ethics Full-time (Hybrid - 3 days/week onsite) Springfield, MA The Opportunity As a Relationship Manager, you are critical to delivering a positive customer experience by providing holistic compliance solutions and connecting business partners...

  • Relationship Manager/Compliance Consultant

    3 weeks ago

    Hartford, United States MassMutual Full time

    Job DescriptionRelationship Manager/Compliance ConsultantRelationship and Strategic Project Management Team, Compliance and Ethics Full-time (Hybrid - 3 days/week onsite)Springfield, MA The OpportunityAs a Relationship Manager, you are critical to delivering a positive customer experience by providing holistic compliance solutions and connecting business...

  • Relationship Manager/Compliance Consultant

    3 weeks ago

    FARMINGTON, CT, United States MassMutual Full time

    Relationship Manager/Compliance Consultant Relationship and Strategic Project Management Team, Compliance and Ethics Full-time (Hybrid - 3 days/week onsite) Springfield, MA The Opportunity As a Relationship Manager, you are critical to delivering a positive customer experience by providing holistic compliance solutions and connecting business partners...

  • Quality Consultant RN

    4 weeks ago

    Hartford, CT, United States State of Connecticut Full time

    Are you a Registered Nurse with experience in administration, consultation, education, or supervision? Join us as a Nurse Consultant and apply your expertise in enforcing, inspecting, and consulting on nursing services in healthcare programs and facilities. The State of Connecticu t , Department of Public Health (DPH) is currently seeking two (2)...

  • Investment Compliance Specialist

    3 weeks ago

    Hartford, Connecticut, United States MassMutual Full time

    Job Title: Investment Compliance ConsultantMassMutual is seeking a highly skilled Investment Compliance Consultant to join our team. As a key member of our Investment Compliance Team, you will be responsible for monitoring compliance with various regulations, guidelines, and policies for the Company's General Investment Account.The OpportunityAs a Compliance...

  • Investment Compliance Consultant

    3 weeks ago

    Milwaukee, WI, United States Northwestern Mutual Full time

    At Northwestern Mutual, we are strong, innovative and growing. We invest in our people. We care and make a positive difference. At Northwestern Mutual, we believe relationships are built on trust.  That our lives and our work matter. These beliefs launched our company over 160 years ago. Today, they're just a few of the reasons...

  • Investment Compliance Consultant

    3 weeks ago

    Milwaukee, WI, United States Northwestern Mutual Full time

    At Northwestern Mutual, we are strong, innovative and growing. We invest in our people. We care and make a positive difference. At Northwestern Mutual, we believe relationships are built on trust.  That our lives and our work matter. These beliefs launched our company over 160 years ago. Today, they're just a few of the reasons...

  • Investment Compliance Consultant

    1 month ago

    Milwaukee, WI, United States Northwestern Mutual Full time

    At Northwestern Mutual, we are strong, innovative and growing. We invest in our people. We care and make a positive difference. At Northwestern Mutual, we believe relationships are built on trust.  That our lives and our work matter. These beliefs launched our company over 160 years ago. Today, they're just a few of the reasons...

  • Relationship Manager/Compliance Consultant

    2 weeks ago

    Springfield, MA, United States MassMutual Full time

    Relationship Manager/Compliance ConsultantRelationship and Strategic Project Management Team, Compliance and Ethics Full-time (Hybrid - 3 days/week onsite)Springfield, MA The OpportunityAs a Relationship Manager, you are critical to delivering a positive customer experience by providing holistic compliance solutions and connecting business partners with...

  • Relationship Manager/Compliance Consultant

    4 weeks ago

    Springfield, MA, United States MassMutual Full time

    Relationship Manager/Compliance ConsultantRelationship and Strategic Project Management Team, Compliance and Ethics Full-time (Hybrid - 3 days/week onsite)Springfield, MA The OpportunityAs a Relationship Manager, you are critical to delivering a positive customer experience by providing holistic compliance solutions and connecting business partners with...

  • Compliance Specialist

    4 days ago

    Hartford, Connecticut, United States MassMutual Full time

    Job Summary As a Relationship Manager/Compliance Consultant at MassMutual, you will play a critical role in delivering a positive customer experience by providing holistic compliance solutions and connecting business partners with other compliance subject matter experts. You will be responsible for detecting and assessing risk from a broad Company...

  • HRIS Developer Consultant

    4 weeks ago

    Hartford, CT, United States MassMutual Full time

    HRIS Developer Consultant Full-Time - Hybrid (3 days per week in office)Springfield, MAThe Opportunity We seek a highly skilled developer with experience preferably with HR Systems and systems integrations.  A proven ability to learn new software applications swiftly is a must.  In this role, you will leverage your expertise to provide comprehensive...

  • HRIS Developer Consultant

    4 weeks ago

    Hartford, CT, United States MassMutual Full time

    HRIS Developer Consultant Full-Time - Hybrid (3 days per week in office)Springfield, MAThe Opportunity We seek a highly skilled developer with experience preferably with HR Systems and systems integrations.  A proven ability to learn new software applications swiftly is a must.  In this role, you will leverage your expertise to provide comprehensive...

  • Senior Lead Consultant, M&A Due Diligence and Compliance Expert

    4 days ago

    Hartford, Connecticut, United States Ramboll Group AS Full time

    About the RoleWe are seeking a highly skilled Senior Lead Consultant to join our team in the Northeast USA offices. As a key member of our team, you will conduct Phase I environmental site assessments and limited environmental compliance reviews of complex industrial facilities and/or facilities with long industrial histories.Key ResponsibilitiesConducting...