Risk Oversight Consultant

2 weeks ago

New York, New York, United States MassMutual Full time
Job Opportunity

About the Role

We are seeking a highly skilled Advisory Risk Oversight Consultant to join our team at MassMutual. As a key member of our Investment Policy Support team, you will play a critical role in managing investment policies for our firm's investment advisory programs, as well as related brokerage and insurance products and services.

Key Responsibilities

  • Develop and maintain investment policy guidelines and operating procedures
  • Monitor and detect violations of investment policies and work with advisors, field management, and product teams to design and implement timely resolutions
  • Partner with lines of business, Compliance, Supervision, and Law to execute operational and regulatory risk initiatives
  • Participate in the implementation of initiatives with greater complexity that benefit the Wealth Management organization
  • Draft, review, and implement policies and operational procedures to support the advisory oversight team and lines of business stakeholders
  • Effectively communicate with registered representatives and internal business partners
  • Prepare and deliver analyses, reports, and presentations to management
  • Stay current on regulatory and industry matters relevant to MassMutual's Wealth Management line of business

Requirements

  • 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

What to Expect

  • Regular meetings with the Investment Policy Support team
  • Focused one-on-one meetings with your manager
  • Access to mentorship opportunities
  • Networking opportunities with Business Resource Groups
  • Access to learning content on Degreed and other informational platforms
  • A company with a strong and stable ethical culture, industry-leading pay, and benefits

  • Risk Oversight Consultant

    6 days ago

    New York, New York, United States MassMutual Full time

    The OpportunityAs an Advisory Risk Oversight Consultant, you will play a critical role in managing investment policies for MassMutual's investment advisory programs, as well as related brokerage and insurance products and services. This position will be actively engaged in the construction and monitoring of investment policy guidelines and will provide...

  • Advisory Risk Oversight Consultant

    4 weeks ago

    New York, New York, United States MassMutual Full time

    About the RoleWe are seeking a highly skilled Advisory Risk Oversight Consultant to join our team at MassMutual. As a key member of our organization, you will play a critical role in managing investment policies for our firm's investment advisory programs, as well as related brokerage and insurance products and services.Key ResponsibilitiesMaintenance of...

  • Compliance Risk Oversight Specialist

    4 weeks ago

    New York, New York, United States Barclays Full time

    Job DescriptionJob SummaryThe Compliance Risk Oversight Specialist will provide data-led expert oversight and challenge on business and compliance matters to ensure that the organization is operating in compliance with Barclays legal, regulatory, and ethical responsibilities.Key ResponsibilitiesIdentification and assessment of compliance risks through...

  • Compliance Risk Oversight Specialist

    4 weeks ago

    New York, New York, United States Barclays Full time

    Job DescriptionJob Summary: We are seeking a highly skilled Compliance Risk Oversight Specialist to join our team at Barclays. As a key member of our Compliance department, you will be responsible for providing expert oversight and challenge on business and compliance matters to ensure that the organization is operating in compliance with Barclays' legal,...

  • Compliance Risk Oversight Specialist

    2 days ago

    New York, New York, United States Barclays Full time

    {"Job OverviewAs a key member of the Americas Chief Compliance Office team at Barclays, you will play a critical role in ensuring the firm's adherence to laws and regulations.Key Responsibilities* Provide expert oversight and challenge on business and compliance matters to ensure the organization is operating in compliance with Barclays' legal, regulatory,...

  • Director of Fiduciary Risk Oversight

    6 days ago

    New York, New York, United States Wells Fargo Full time

    About this RoleWells Fargo is seeking a seasoned professional to lead our Fiduciary Risk Oversight team as a Director of Fiduciary Risk Oversight. As a key member of our Operational Risk Management team, you will be responsible for overseeing and enhancing the execution of our fiduciary risk coverage program.Key ResponsibilitiesDirect and manage fiduciary...

  • Liquidity Risk Oversight Manager

    2 weeks ago

    New York, New York, United States Sumitomo Mitsui Financial Group, Inc. Full time

    Job Title: Liquidity Risk Oversight ManagerSumitomo Mitsui Financial Group, Inc. is a leading global financial institution with a rich history and diverse range of financial services. We are seeking a highly skilled Liquidity Risk Oversight Manager to join our team in the Americas Division.Job SummaryThe Liquidity Risk Oversight Manager will be responsible...

  • Director of Fiduciary Risk Oversight

    3 days ago

    New York, New York, United States Wells Fargo Full time

    About this RoleWe are seeking a highly skilled Director of Fiduciary Risk Oversight to join our Operational Risk Management team. As a key member of the Fiduciary & Investment Risk Oversight team, you will be responsible for overseeing and enhancing the execution of our fiduciary risk coverage program.Key ResponsibilitiesDirect and manage fiduciary resources...

  • Director, Model Risk Oversight and Governance

    4 weeks ago

    New York, New York, United States Financial Industry Regulatory Authority , Inc. Full time

    Job SummaryThe Director, Model Risk Oversight and Governance will lead the Non-Financial Model Oversight (NFMO) function within the Model Risk Oversight department, supporting Member Supervision in identifying risks posed by member firms' use of non-financial models. This role will provide subject matter expertise related to model risk management and...

  • Senior Risk Consultant

    2 days ago

    New York, New York, United States HUB International Full time

    About HUB InternationalHUB International is a global firm that empowers its clients by protecting businesses and individuals in local communities. We help businesses evaluate their risks and develop tailored solutions. Our structure enables teams to maintain a unique regional culture while leveraging corporate resources.About the PositionThe Senior Risk...

  • Director of Fiduciary Risk Oversight

    6 days ago

    New York, New York, United States Wells Fargo Full time

    About this RoleWe are seeking a highly skilled Director of Fiduciary Risk Oversight to join our team at Wells Fargo. As a key member of our Operational Risk Management group, you will be responsible for overseeing and enhancing the execution of our fiduciary risk coverage program.Key ResponsibilitiesDirect and manage fiduciary resources to ensure proactive...

  • Senior Risk Consultant

    2 weeks ago

    New York, New York, United States HUB International Full time

    About HUB InternationalWe are a team of entrepreneurs who empower our clients by protecting businesses and individuals in our local communities. Our mission is to help businesses evaluate their risks and develop solutions tailored to their needs. We believe in empowering our employees, providing them with resources in technology and industry expertise, while...

  • Director of Fiduciary Risk Oversight

    2 days ago

    New York, New York, United States Wells Fargo Full time

    About this Role:We are seeking a highly skilled Director of Fiduciary Risk Oversight to join our team in Operational Risk Management. As a key member of the Fiduciary & Investment Risk Oversight team, you will be responsible for overseeing and enhancing the execution of our fiduciary risk coverage program.Key Responsibilities:Direct and manage fiduciary...

  • Risk Consultant

    3 days ago

    New York, New York, United States AXA XL Ltd Full time

    Job Title: Risk ConsultantWe are seeking a highly skilled Risk Consultant to join our Loss Prevention Education Programs Department. As a Risk Consultant, you will play a critical role in helping our clients grow by addressing their needs at the intersection of strategy, technology, marketing, and innovation.Key Responsibilities:Develop new educational...

  • Risk Advisory Consultant

    3 weeks ago

    New York, New York, United States CrossCountry Consulting Full time

    About the RoleWe are seeking a highly skilled and experienced Risk Advisory Consultant to join our team at CrossCountry Consulting. As a trusted advisor to our clients, you will play a critical role in helping them navigate complex risk challenges and achieve their strategic objectives.Key ResponsibilitiesProvide exceptional client service and develop strong...

  • Risk Oversight Specialist

    1 month ago

    New York, New York, United States Eclaro Full time

    Job Summary:Eclaro is seeking a highly skilled Audit Supervisor to join our team. As an Audit Supervisor, you will be responsible for leading complex audit activities and ensuring the sound application of risk-based auditing.Key Responsibilities:Develop and execute audit strategies to identify and mitigate risks, and ensure compliance with regulatory...

  • Risk Management Consultant

    6 days ago

    New York, New York, United States Global Business Consulting Services (GBCS) Full time

    Job Title: RCSA and Key Risk Indicator Reporting ConsultantGlobal Business Consulting Services (GBCS) is seeking a highly skilled RCSA and Key Risk Indicator Reporting Consultant to join our team.Job Summary:We are looking for a seasoned risk management professional with expertise in RCSA and Key Risk Indicator reporting to join our team. The successful...

  • Credit Risk Consultant

    4 weeks ago

    New York, New York, United States M-Logic Full time

    About the RoleM-Logic is seeking a highly skilled Credit Risk Consultant to join our team. As a Credit Risk Consultant, you will play a critical role in analyzing and evaluating the creditworthiness of our clients and counterparties.Key ResponsibilitiesCredit Analysis: Conduct thorough credit analysis of existing and new clients, including insurance...

  • Risk Engineering Consultant

    2 weeks ago

    New York, New York, United States Zurich Insurance Company Full time

    Job Title: Property and Casualty Risk Engineering ConsultantZurich's Northeast Middle Markets Risk Engineering team is seeking a skilled Risk Engineering Consultant to support the Middle Markets Underwriting Business Unit. This role is ideal for individuals with multi-line Risk Engineering experience and a strong understanding of risk assessment and...

  • Risk Engineering Consultant

    3 weeks ago

    New York, New York, United States Zurich Insurance Company Full time

    Job SummaryZurich's Northeast Middle Markets Risk Engineering team is seeking a skilled Risk Engineering Consultant to support the Middle Markets Underwriting Business Unit. This role involves working from home with occasional travel to the Long Island, NY, New York City, or Westchester, NY area.Key ResponsibilitiesConduct field engineering risk assessments...