Risk Oversight Consultant

5 days ago

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

As 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 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 optimize 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
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

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