Compliance Consultant

2 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.

  • Compliance Consultant

    1 month 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...

  • Compliance Consultant

    2 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...

  • Compliance Consultant

    1 month ago

    HARTFORD, United States MassMutual Full time

    Compliance ConsultantInvestment Advisory and Financial Planning Compliance TeamFull-Time (Hybrid - 3 days/week in office)Boston, MA or Springfield, MAThe OpportunityAs 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...

  • Compliance Consultant

    1 month ago

    Hartford, CT, United States MassMutual Full time

    Compliance ConsultantInvestment Advisory and Financial Planning Compliance TeamFull-Time (Hybrid - 3 days/week in office)Boston, MA or Springfield, MAThe OpportunityAs 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...

  • Senior Lead Consultant, M&A Due Diligence and Compliance

    3 months ago

    Hartford, United States Ramboll Full time

    Job DescriptionThis hybrid-based position is open at any of our Northeast USA offices, located in New Jersey (Princeton); Southeastern Pennsylvania (Philadelphia), New York (New York City), Connecticut (Hartford), Massachusetts (Boston, Westford, Amherst), or Maine (Portland). We are also willing to consider remote applicants from outside the geographical...

  • Retirement Planning Consultant

    4 weeks ago

    Hartford, Connecticut, United States NFP Full time

    Retirement Advisor Job DescriptionWe are an organization of consultative advisors and problem solvers, helping companies and individuals address their most significant risk, workforce, wealth management, and retirement challenges through custom solutions and a people-first approach.Key Responsibilities:Establish and maintain client relationships, providing...

  • Consultant - Risk Consulting

    2 weeks ago

    Hartford, United States KLM Careers Full time

    The Consultant Risk Consulting role involves optimizing clients insurance recovery for mass tort and highvalue claims. This position requires a strong understanding of insurance concepts and legal pleadings. The consultant will work within a corporate environment using Word and Excel to follow established protocols and organize information effectively. ...

  • Consultant - Risk Consulting

    4 weeks ago

    Hartford, United States KLM Careers Full time

    The Consultant Risk Consulting role involves optimizing clients insurance recovery for mass tort and highvalue claims. This position requires a strong understanding of insurance concepts and legal pleadings. The consultant will work within a corporate environment using Word and Excel to follow established protocols and organize information effectively. ...

  • Business Intelligence Consultant

    1 month ago

    Hartford, Connecticut, United States Tiger Analytics Full time

    Job OverviewTiger Analytics is a leading analytics consulting firm that helps Fortune 100 companies generate business value from data. Our team of experts brings deep expertise in Data Science, Data Analytics, Data Engineering, Business Intelligence, Machine Learning, and AI.We are seeking a highly skilled Business Intelligence Strategy Consultant to deliver...

  • Strategic Business Consultant Lead

    4 weeks ago

    Hartford, Connecticut, United States CVS Health Full time

    Job SummaryCVS Health is seeking a highly skilled Strategic Business Consultant Lead to join our team. As a key member of our organization, you will be responsible for leading teams to develop enterprise-wide and cross-functional solutions to address business problems.Key ResponsibilitiesCollaborate with cross-functional teams to optimize the achievement of...

  • Data Privacy Consultant

    3 weeks ago

    hartford, United States E-Solutions Full time

    Data Privacy ConsultantRichmond, VAStamford, CTFull Time At least 2 years of experience in one of the below:- Data Privacy , compliance or data governance implementation- Data protection & data security measures (encryption, anonymization etc.)At least 2 years of experience on any one of data governance, data catalogue, data discovery and data security tools...

  • Data Privacy Consultant

    3 weeks ago

    Hartford, United States E-Solutions Full time

    Data Privacy ConsultantRichmond, VAStamford, CTFull Time At least 2 years of experience in one of the below:- Data Privacy , compliance or data governance implementation- Data protection & data security measures (encryption, anonymization etc.)At least 2 years of experience on any one of data governance, data catalogue, data discovery and data security tools...

  • Data Privacy Consultant

    3 weeks ago

    hartford, United States E-Solutions Full time

    Data Privacy ConsultantRichmond, VAStamford, CTFull Time At least 2 years of experience in one of the below:- Data Privacy , compliance or data governance implementation- Data protection & data security measures (encryption, anonymization etc.)At least 2 years of experience on any one of data governance, data catalogue, data discovery and data security tools...

  • Application Support Consultant

    4 weeks ago

    Hartford, Connecticut, United States Voya Financial Full time

    Job DescriptionWe are seeking a highly skilled Application Support Consultant to join our team at Voya Financial. As a key member of our digital portfolio team, you will be responsible for ensuring the smooth operation of our software applications, providing technical leadership, and managing vendor relationships.Key Responsibilities:Coordinate software...

  • Investment Risk Consultant

    3 weeks ago

    Hartford, United States MassMutual Full time

    The Opportunity   As an Investment Risk Consultant, you will join a team that is focused on managing investment policies for the firm’s investment advisory programs, as well as related brokerage and insurance related products and services.  This role will be actively engaged in the construction and monitoring of investment policy guidelines and will...

  • State and Local Tax Consultant

    3 weeks ago

    HARTFORD, United States MassMutual Full time

    State and Local Tax AnalystCorporate Tax DepartmentFull-TimeBoston, MA or Springfield, MAThe Opportunity We’re growing and our clients deserve the best. As a State & Local Tax Consultant you will work to reduce the Company’s exposure to tax risks, provide high-quality tax advice, and satisfy compliance requirements.  In this role, as well as all roles...

  • Senior Managing Consultant or Principal, LSP in Massachusetts

    2 weeks ago

    Hartford, United States Ramboll US Corporation Full time

    Company DescriptionFounded in Denmark, Ramboll is a foundation-owned people company. We have more than 18,000 experts working across our global operations in 35 countries with thousands of experts working across 70 offices in the Americas. Our experts are leaders in their fields, developing and delivering innovative solutions in diverse markets including...

  • Senior Managing Consultant or Principal, LSP in Massachusetts

    2 months ago

    Hartford, United States Ramboll Full time

    Company DescriptionFounded in Denmark, Ramboll is a foundation-owned people company. We have more than 18,000 experts working across our global operations in 35 countries with thousands of experts working across 70 offices in the Americas. Our experts are leaders in their fields, developing and delivering innovative solutions in diverse markets including...

  • Application Support Consultant

    1 month ago

    Hartford, Connecticut, United States Voya Financial Full time

    Job SummaryVoya Financial is seeking a highly skilled Application Support Consultant to join our team. As a key member of our organization, you will be responsible for ensuring the smooth operation of our software applications, providing technical leadership, and collaborating with our supplier to deliver high-quality results.Key Responsibilities:Coordinate...

  • Data Analytics Audit Consultant

    3 weeks ago

    Hartford, United States MassMutual Full time

    The Opportunity As a Data Analytics Audit Consultant on the Corporate Audit Data Analytics Team, you will have an opportunity to join a team of collaborative professionals focused on driving data analysis and business intelligence efforts that support internal audit projects throughout the company, create and maintain management dashboards and reports, and...