Investment Compliance Consultant

Compliance Analyst, Investment Compliance

Investment Management

Full-Time

Springfield, MA, or Boston, MA

The Opportunity

As a Compliance Analyst, you will be responsible for monitoring compliance with various regulations, guidelines, and policies for the Company’s General Investment Account.  Additionally, you will be responsible for assessing compliance with state regulatory investment limits, monitoring compliance with investment guidelines for discretionary accounts managed by third parties, and monitoring pre and post trade compliance matters using the Company’s order management systems for derivatives in a timely manner.  You will also be responsible for supporting certain reporting requirements related to the Company’s governance and compliance framework to senior management.

The Team

The Investment Compliance Team partners with various stakeholders across MassMutual to assess and monitor compliance with various investment regulations, guidelines, and policies for the Company’s General Investment Account.  The team works collaboratively with portfolio management, investment operations and various risk management teams across the Company to evaluate a broad range of compliance and risk related matters. The team is also focused on adding value via process improvement, automation, and enhanced reporting to support the Company’s investment strategies and objectives.

The Impact

As a crucial team member, you will provide valuable insight and perspective to management on a broad range of investment related regulatory, governance and risk matters. Candidates should have investment knowledge, strong analytical skills, and the ability to collaborate effectively with a wide range of internal and external stakeholders. Successful candidates will be able to work independently as well as contribute to projects. Individuals must be comfortable with learning new processes and systems and be able to prioritize work among incoming requests from various sources.

Responsibilities Include:

• Monitoring ongoing compliance with state regulatory and internal investment limits
• Analyzing ongoing compliance with investment guidelines for discretionary accounts
• Monitoring of pre and post trade compliance rules using the Company’s systems
• Collaborating with stakeholders to ensure appropriate resolution of compliance matters
• Supporting reporting of compliance items to multiple constituencies

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The Minimum Qualifications

• Bachelor’s Degree
• 5+ years of work experience in financial services
• Proficient with Microsoft Office tools (Outlook, Excel, Word, etc.)

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The Ideal Qualifications

• Bachelor’s Degree in Finance, Accounting or Legal Studies, preferred
• 5+ years of work experience in financial services, preferably in a compliance role
• Knowledge of investments, including derivatives, preferred
• Strong analytical, problem solving and issue resolution skills
• Excellent verbal and written communication skills
• Strong organizational and time management skills
• Ability to work independently, prioritize work, and meet deadlines

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What to Expect as Part of MassMutual and the Team

• Regular meetings with the Investment Compliance 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

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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.