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Regulatory Operations Consultant



Legal, Operations
Springfield, MA, USA
Posted on Wednesday, December 13, 2023

Regulatory Operations Consultant

Springfield, Massachusetts Customer Service Job ID R14786

The Opportunity

As a Regulatory Operations Consultant you will be responsible for mitigating risk for the firm by evaluating exception reporting to ensure adherence to the firm’s supervisory controls as well as state, FINRA, and SEC rules and regulations. Once review is complete, ensure evaluation is reflected in comprehensive documentation for each case. This is an excellent opportunity to collaborate with several different areas within the firm, as well as with our partners in the field. You will be part of a team that encourages your growth, supports your ambitions and makes it a priority to reach your goals.

The Team

The Supervisory Control Procedures 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 completion of the majority of the firm’s Supervisory Control Procedures. Members of the team demonstrate accountability, agility, a dedication to be inclusive, a strong business acumen, and will show courage, even in the most difficult situations. We highly value strong communication skills, a passion for learning, leadership traits, resilience, and self-awareness.

The Impact

We are looking for an individual who is self-motivated, accountable, and focused on development. You will leverage resources available, identify opportunities for operational efficiency and to mitigate financial, reputational, and regulatory risk, and update processes with management approval. You will also demonstrate the flexibility to work both independently and collaboratively within a diverse team environment. Key responsibilities include:

  • Review trade activity, money movement, and supporting documentation for standard brokerage and RIA platforms to ensure compliance with policies, procedures, and regulatory requirements in relation to Supervisory Controls

  • Adhere to control systems to prevent or deal with violations of legal guidelines and internal policies

  • Enhancement of back-office processes, risk mitigation through research, and implementation/management of operational and supervisory procedures

  • Responds to complex questions from internal and external customers regarding program guidelines and administrative procedures

  • Coordinates and delivers training as needed

  • Confront difficult issues and conflict in a professional, assertive, and proactive manner

  • Attend to detail while maintaining a big picture perspective

  • Other duties as assigned, including other supervisory and/or operations functions

The Minimum Qualifications

  • High School Diploma or GED

  • Series 7 at time of application or must obtain within 6 months

  • Series 24 at time of application or must obtain within 6 months

  • 2+ years experience in the financial services industry

  • 1+ year of experience with brokerage products, program policies and provisions, and state and federal law

  • 1+ year of experience with Microsoft Office (Excel, Word, PowerPoint)

  • If candidate does not currently hold FINRA Licenses at time of application, then due to the nature of this position, as a 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 Candidate

  • Bachelor's Degree

  • Series 7 and 24 at time of application

  • Compliance or supervision experience with a FINRA registered Broker-Dealer and/or SEC Registered Investment Advisor

  • Critical Thinking: thoughtful process of analyzing data and problem-solving data to reach a well-reasoned solution

  • Ability to partner effectively to drive our culture and execute on our common goals

  • Appreciation and understanding of the financial services industry in order to make sound business decisions

  • Able to use knowledge and skills to monitor advisory and brokerage assets, complete regulatory reporting and assist the firm in maintaining proper compliance with company policy, FINRA, SEC, and state regulatory rules with limited supervision

  • Ability to identify opportunities for operational efficiency and productivity improvements to mitigate financial, reputational and regulatory risk and to update processes with management approval

  • Self-motivated and has personal accountability to achieve career development by leveraging resources available

What to Expect as Part of MassMutual and the Team

  • Regular meetings with the Supervisory Control Procedures 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


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.
Salary Range: $59,500.00-$78,100.00 Apply