Compliance Consultant

3 weeks ago

Hartford, United States MassMutual Full time

Compliance Consultant

Investment Advisory and Financial Planning Compliance Team

Full-Time (Hybrid - 3 days/week in office)

Boston, MA or Springfield, MA

The Opportunity

As 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 requirements.  Specifically, this role manages MMLIS’ conflicts identification and mitigation program (the “Conflicts Program”).  In collaboration with business partners (including senior leaders), the Compliance Consultant is responsible for identification of new conflicts, proposing mitigations (including disclosures), managing the MMLIS Conflicts Committee meetings, maintaining the MMLIS Conflicts Catalogue, and administering an annual conflicts certification. 

In addition to the above, the Compliance Consultant will provide compliance consulting to our business partners related to various products, services, and platforms to ensure compliance with regulatory requirements, and drafts certain key regulatory reports, including the firm’s annual 206(4)-7 report and 2020-02 retrospective report.

This position is based in Springfield or Boston and follows a hybrid work schedule.

The Team

The Investment Advisory and Financial Planning Compliance team collaborates with a variety of stakeholders to promote a culture of compliance with the Securities Exchange Act of 1944 and Investment Advisers Act of 1940, and ERISA standards, as applicable, as well as FINRA, SEC, DOL and state regulatory requirements.  We seek to offer clear and actionable compliance guidance and influence business partners to ensure they have the knowledge and tools necessary to navigate the complex regulatory landscapes with integrity and success.

The Impact:

As a Compliance Consultant, your responsibilities will include, but are not limited to the following:

  • Administration of the Conflicts Program : Identify, evaluate, and propose mitigations for new or existing conflicts related to MMLIS’ activities as a broker dealer and investment adviser.  Coordinate periodic Conflicts Committee meetings, managing the agenda, offering compliance guidance to senior leaders as needed. 
  • Maintain Conflicts Catalogue :  Maintain the MMLIS broker-dealer and investment advisory Conflicts Catalogue, ensuring its ongoing accuracy, including stated mitigation efforts.  Coordinate associated disclosure obligations with members of the Law Department.
  • Project Guidance : Work independently on complex projects related to new products, services, platforms, and business initiatives, primarily as it relates to compliance with the Investment Advisers Act of 1940.  Knowledge of and experience with ERISA/DOL standards, including fiduciary standards is a plus but not required.

The Minimum Qualifications

  • Bachelor's degree and 5+ years of compliance experience required.
  • 5+ years of experience with relevant Investment Advisers Act, Exchange Act, and FINRA, DOL, and SEC regulatory requirements.
  • Due to the nature of this position, as part of our background check process, candidates must be able to pass a non-registered fingerprint background check to qualify as a fingerprinted person under FINRA.

The Ideal Qualifications

  • Series 7 & 24
  • The ability to work independently.
  • Experience with conflicts mitigation programs.
  • Advanced Degree (e.g. JD) and 10+ years experience preferred.
  • Exceptionally strong business acumen.  The successful candidate must be able to clearly and effectively communicate compliance issues to business partners (including senior business partners) and to influence business decisions.
  • Exceptional written communication skills.
  • Strong analytical abilities that can assess both risks and the effectiveness of compliance controls.  

What to Expect as Part of MassMutual and the Team

  • Regular meetings with the 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 business with industry leading pay and benefits

#LI-FT1

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.

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