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Advisory Risk Oversight Consultant

2 months ago

NEW YORK, United States MassMutual Full time

The Opportunity

As an Advisory Risk Oversight Consultant, you will join a team that is focused on managing investment policies for the firm’s investment advisory programs, as well as related brokerage and insurance related products and services.  This role will be actively engaged in the construction and monitoring of investment policy guidelines and will provide consultative operational support and issue resolution for field advisors and other internal stakeholders. The Advisory Oversight Consultant will also identify and lead project enhancements to further optimization of the advisory oversight function, implement new or changed processes, and be an active and visible participant in overall risk management routines in Wealth Management.  

The Team

The team has varied backgrounds and experience in the industry but share a developed business acumen, an agility to switch between support and analytical work as well as a strong communication skillset, delivered both internally and externally. The role of this team is a careful balance between investment expertise, core support role of the advisors’ practices and participation in on-going internal oversight initiatives.

The Impact

The Advisory & Risk Oversight 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 execution of the firm’s Supervisory Control Procedures.

Key Responsibilities Include:

  • Key participant in the maintenance of the firm’s advisory program investment policies, guidelines, and operating procedures

  • Monitoring and detecting violations of the firm’s advisory program investment policies and working independently with advisors, field management, product and support teams to design and implement timely resolutions

  • Partnering with lines of business, Compliance, Supervision and Law to execute operational and regulatory risk initiatives including identifying, implementing, and documenting solutions

  • Participating in implementation of initiatives with greater complexity that benefit the greater Wealth Management organization

  • Drafting, reviewing, and implementing policies and operational procedures to support the advisory oversight team and lines of business stakeholders

  • Demonstrating the ability to effectively communicate with registered representatives including agency personnel, as well as internal business partners such as Compliance, Field Inspection, and Regional Supervisory Directors

  • Preparing and delivering analyses, reports, and presentations to management

  • Staying current on regulatory and industry matters relevant to the MassMutual Wealth Management line of business

The Minimum Qualifications 

  • 5+ years of financial services, banking, insurance, or regulatory experience 

  • Bachelor’s degree  

  • FINRA Series 7 & 24 at time of application or must obtain within 180 days 

  • 2+ years' experience with investment programs, portfolio management, financial risk management and analysis 

  • 2+ years' experience in project management, implementing regulatory requirements or process enhancements 

The Ideal Qualifications 

  • 8+ years of financial services, banking, insurance, or regulatory experience 

  • MBA or PMP certification

  • FINRA Series 7 & 24 at time of application 

  • Chartered Financial Analyst (CFA) or working toward attainment 

  • Strong knowledge of investment advisory products, security types and how they work, asset allocation and portfolio construction 

  • Solutions and detail oriented, organized, critical thinking and decision making are a must  

  • Ability to work independently, multi-task and manage daily responsibilities with project work 

  • Strong verbal and written communication skills; ability to build relationships vertically in the organization 

  • Strong interest in doing more and moving up in responsibilities and visibility 

  • Exposure to investment advisers, financial planning concepts, sales practices, and regulations 

  • Direct experience managing the identification, solution design and implementation of new regulatory requirements, processes and/or high-level operational procedures 

  • Direct experience with risk, compliance, or supervision practices in financial services or with a regulator 

  • High level critical thinking with a problem resolution mindset 

  • Exceptional organizational, analytical, problem-solving and communication skills 

What to Expect as Part of MassMutual and the Team

  • Regular meetings with the Investment Policy Support 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 nosiness with industry leading pay and benefits

#LI-CR41

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.