Compliance Specialist
22 hours ago
Join MassMutual's dynamic and collaborative Investment Advisory and Financial Planning Compliance team as a Compliance Consultant. As a key member of this team, you will play a vital role in ensuring the company's compliance with investment advisory and broker-dealer requirements.
Key Responsibilities:- Collaborate with senior leaders to identify new conflicts and propose mitigations, including disclosures.
- Manage the MMLIS Conflicts Committee meetings and maintain the MMLIS Conflicts Catalogue.
- Administer an annual conflicts certification and provide compliance consulting to business partners related to various products, services, and platforms.
- Draft key regulatory reports, including the firm's annual 206(4)-7 report and 2020-02 retrospective report.
- Bachelor's degree and 5+ years of compliance experience.
- Strong analytical abilities to assess risks and the effectiveness of compliance controls.
- Exceptionally strong business acumen and ability to communicate compliance issues effectively to business partners.
- Experience with relevant Investment Advisers Act, Exchange Act, and FINRA, DOL, and SEC regulatory requirements.
- Exceptional compensation and benefits package.
- Access to learning content on Degreed and other informational platforms.
- Networking opportunities with Asian, Hispanic/Latinx, African American, women, LGBTQ, veteran, and disability-focused Business Resource Groups.
- A company with a strong and stable ethical business culture.
MassMutual is an Equal Employment Opportunity employer. We welcome applicants from diverse backgrounds and are committed to creating an inclusive work environment. If you need an accommodation to complete the application process, please contact us and share the specifics of the assistance you need.
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