Advisory Risk Oversight Consultant

2 months ago

Springfield MA 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.

  • Advisory Risk Oversight Consultant

    1 month ago

    New York City, NY, United States MassMutual Full time

    The OpportunityAs 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...

  • Senior Risk Oversight Specialist

    1 month ago

    , IL, United States Discover Full time

    Job Title: Senior Principal Operational Risk Oversight Contact CenterDiscover is seeking a highly skilled Senior Principal Operational Risk Oversight Contact Center to join our team. As a key member of our operational risk management team, you will be responsible for providing strategic guidance and oversight to ensure the effective management of operational...

  • Fraud Operations Risk Oversight Manager

    3 days ago

    Farmington, MI, United States Comerica Full time

    Fraud Op Risk Oversight ManagerBefore applying for this role, please read the following information about this opportunity found below.The Fraud (external, Internal and Theft) Oversight Manager is responsible for assisting with the strategic development, execution, and overall management 2nd line oversight of Fraud in alignment with ORM framework and...

  • Risk Oversight – Compliance Officer

    7 days ago

    Holyoke, MA, United States Experis Full time

    Risk Oversight – Compliance Officer Our client in Holyoke, Mass. the largest and most admired community bank in Western Massachusetts, is seeking a Risk Oversight – Compliance Officer to join their team. The Risk Oversight – Compliance Officer works with compliance department leadership as an overall Compliance specialist with a focus to maintain and...

  • Compliance Consultant

    3 weeks 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...

  • Risk Management Specialist

    1 week ago

    Springfield, Illinois, United States Risk Strategies Full time

    The Account Executive role at Risk Strategies is a key position responsible for managing a complex book of business, including placement and client management. The ideal candidate will have a deep understanding of Property & Casualty business and experience in a brokerage environment.Key responsibilities include overall Service, Placement and Business...

  • Vice President, Liquidity Risk Oversight

    1 month ago

    UNITED STATES, NY, NEW YORK BNY Full time

    Vice President, Liquidity Risk Oversight - Treasury Risk  At BNY, our culture empowers you to grow and succeed. As a leading global financial services company at the center of the world’s financial system we touch nearly 20% of the world’s investible assets. Every day around the globe, our 50,000+ employees bring the power of their perspective to the...

  • Vice President, Liquidity Risk Oversight

    5 days ago

    New York, NY, United States BNY Full time

    Vice President, Liquidity Risk Oversight - Treasury Risk At BNY, our culture empowers you to grow and succeed. As a leading global financial services company at the center of the world's financial system we touch nearly 20% of the world's investible assets. Every day around the globe, our 50,000+ employees bring the power of their perspective to the table...

  • Vice President, Liquidity Risk Oversight

    7 days ago

    New York, NY, United States BNY Full time

    Vice President, Liquidity Risk Oversight - Treasury Risk At BNY, our culture empowers you to grow and succeed. As a leading global financial services company at the center of the world's financial system we touch nearly 20% of the world's investible assets. Every day around the globe, our 50,000+ employees bring the power of their perspective to the table...

  • Senior Energy Consultant

    2 weeks ago

    , WI, United States BAKER TILLY ADVISORY GROUP, LP. Full time

    Baker Tilly Advisory Group, LP is seeking a Senior Consultant to join our Development & Community Advisory (DCA) team. As a key member of our team, you will provide a variety of services including energy and infrastructure advisory, project development support, economic development and capital planning support, and federal grant advisory to clients such as...

  • Risk Adjustment Consulting, Consultant

    4 weeks ago

    Long Beach, CA, United States Blue Shield of California Full time

    Your Role   The Risk Adjustment Prospective Program team focused on transforming health care by making it more accessible, affordable and customer-centric. The Risk Adjustment Consulting, Consultant will report to the Senior Manager of Risk Adjustment. In this role you will lead the Member Incentive Program while supporting the In-Home Visit program (IHV)...

  • Risk Adjustment Consulting, Consultant

    3 weeks ago

    Long Beach, CA, United States Blue Shield of California Full time

    Your Role The Risk Adjustment Prospective Program team focused on transforming health care by making it more accessible, affordable and customer-centric. The Risk Adjustment Consulting, Consultant will report to the Senior Manager of Risk Adjustment. In this role you will lead the Member Incentive Program while supporting the In-Home Visit program (IHV)...

  • Associate - Transaction Advisory/Financial Due Diligence

    2 weeks ago

    , TX, United States Alvarez & Marsal Transaction Advisory Group, LLC Full time

    About Alvarez & Marsal Transaction Advisory Group, LLCAlvarez & Marsal (AandM) is a leading global professional services firm that provides advisory, business performance improvement, and turnaround management services. With over 9,000 people across six continents, we deliver tangible results for corporates, boards, private equity firms, law firms, and...

  • Compliance Consultant

    1 week ago

    Boston, 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 broker-dealer...

  • Director of Private Asset Operational Due Diligence and Oversight

    2 weeks ago

    , MA, United States Fidelity Investments Full time

    About the RoleFidelity Investments is seeking a Director to support the Private Assets component of the Advisor Oversight Program. The successful candidate will partner closely with Fidelity's investment management teams and key stakeholders to identify and mitigate risks associated with the engagement of external advisers within Fidelity investment...

  • Commercial Risk Manager

    4 weeks ago

    , TX, United States Baldwin Risk Partners Full time

    Job Title: Commercial Risk Client ExecutiveThe Baldwin Group is a leading insurance brokerage firm that delivers expertly crafted risk management solutions to clients across the U.S. and abroad. As a Commercial Risk Client Executive, you will be responsible for managing and servicing complex commercial accounts, developing and retaining consultative...

  • Risk Control Consultant

    2 months ago

    Springfield, Illinois, United States exl Full time

    About the RoleWe are seeking a highly skilled Risk Control Consultant to join our team at EXL. As a Risk Control Consultant, you will play a critical role in helping our clients mitigate risks and improve their overall risk management strategies.Key ResponsibilitiesSchedule on-site surveys and provide risk evaluation and risk improvement reports to insurance...

  • Risk Management Consultant

    2 weeks ago

    Alpharetta, GA, United States FM Global Full time

    About FM GlobalFM Global is a leading risk management and industrial property insurance organization with a global presence. With over 76 office locations in more than 60 countries, we provide specialized property protection to a significant portion of the world's largest companies.Job SummaryWe are seeking a highly skilled Consultant Engineer to join our...

  • Risk Consultant II

    2 weeks ago

    , GA, United States Aon Full time

    Job Title: Risk Consultant IIAon is seeking a highly skilled Risk Consultant II to join our team. As a Risk Consultant II, you will play a critical role in supporting our Property Risk Consulting group by developing an understanding of property risks posed by fire, earthquake, flood, and other natural catastrophes.Key Responsibilities:Perform property risk...

  • Senior Manager of Risk and Compliance

    4 weeks ago

    Springfield, Missouri, United States Expedia Group Full time

    About the RoleWe are seeking a highly skilled Senior Manager of Risk and Compliance to join our team at Expedia Group. As a key member of our organization, you will play a critical role in supporting our broader strategy development and managing day-to-day governance activities related to risk, control, and compliance management.Key ResponsibilitiesSupport...