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Advisory Risk Oversight Consultant
2 months ago
We 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 Responsibilities- Maintenance of Investment Policies: Participate in the maintenance of our firm's advisory program investment policies, guidelines, and operating procedures.
- Monitoring and Detection: Monitor and detect violations of our firm's advisory program investment policies and work independently with advisors, field management, product and support teams to design and implement timely resolutions.
- Operational and Regulatory Risk Initiatives: Partner with lines of business, Compliance, Supervision, and Law to execute operational and regulatory risk initiatives, including identifying, implementing, and documenting solutions.
- Implementation of Initiatives: Participate in the implementation of initiatives with greater complexity that benefit the greater Wealth Management organization.
- Policies and Procedures: Draft, review, and implement policies and operational procedures to support the advisory oversight team and lines of business stakeholders.
- Communication: Demonstrate 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.
- Analysis and Reporting: Prepare and deliver analyses, reports, and presentations to management.
- Regulatory and Industry Matters: Stay current on regulatory and industry matters relevant to the MassMutual Wealth Management line of business.
- Financial Services Experience: 5+ years of financial services, banking, insurance, or regulatory experience.
- Education: Bachelor's degree.
- FINRA Series 7 & 24: FINRA Series 7 & 24 at time of application or must obtain within 180 days.
- Investment Programs Experience: 2+ years' experience with investment programs, portfolio management, financial risk management, and analysis.
- Project Management Experience: 2+ years' experience in project management, implementing regulatory requirements or process enhancements.
- Financial Services Experience: 8+ years of financial services, banking, insurance, or regulatory experience.
- MBA or PMP Certification: MBA or PMP certification.
- FINRA Series 7 & 24: FINRA Series 7 & 24 at time of application.
- Chartered Financial Analyst (CFA): Chartered Financial Analyst (CFA) or working toward attainment.
- Investment Advisory Products: Strong knowledge of investment advisory products, security types, and how they work, asset allocation, and portfolio construction.
- Solutions and Detail-Oriented: Solutions and detail-oriented, organized, critical thinking, and decision-making are a must.
- Communication Skills: Strong verbal and written communication skills; ability to build relationships vertically in the organization.
- Problem-Solving: High-level critical thinking with a problem-resolution mindset.
- Organizational Skills: Exceptional organizational, analytical, problem-solving, and communication skills.
