Compliance Consultant
MassMutual
Compliance Consultant
Emerging Technology and Communications Compliance Team
Full-Time
Springfield, MA or Boston, MA
The Opportunity
Join the Emerging Technology and Communications Compliance Team, part of Compliance and Ethics, supporting MassMutual’s Broker Dealers and Investment Advisory businesses. You’ll collaborate with home office and field supervisory staff, providing compliance oversight for MML Investors Services LLC (MMLIS), MMLIS’ Investment Advisor (CRIA), MML Strategic Distributors LLC (MSD), and MML Distributors LLC (MMLD).
The Team
The E-Comm and Wealth Management Data Infrastructure Team is comprised of Compliance Consultants with 15+ years’ experience working with broker dealers. The team has extensive business acumen, collaboration, and communications skills. These skills are needed to interact with executive and strategic leadership of the four MassMutual broker dealers.
The Impact
As a Compliance Consultant, your responsibilities will include but not be limited to the following:
Serve as a Compliance business partner for Marketing, Marketing Platforms, and Corporate Social Teams, coordinating project support for business and marketing initiatives.
Act as the Social Media contact for the Communications Compliance team, attending meetings and calls to discuss policy guidelines.
Maintain and update social media governance for Field and Home Office, including policy standards and supervisory review models.
Develop, initiate, and revise policies and procedures for the social media compliance program; respond to regulatory inquiries, conduct audits, and recommend remediation for violations.
Review Field and Home Office social media content using Patrol and Sprinklr; advise partners on compliant use of social platforms and alternate tools.
Provide firm and advisor-level training, including enablement decks and onboarding for new Agency Supervisory Officers.
Serve as Patrol system administrator, troubleshooting system issues and leading weekly calls.
Support Broker Dealer Surveillance systems (Proofpoint, Proofpoint Patrol); manage rule sets, hierarchies, and vendor interactions.
Educate and inform senior and executive management on compliance issues to avoid regulatory, financial, and reputational exposure.
Proactively interpret regulations and company policy for staff and management.
The Minimum Qualifications
Bachelor’s Degree
5+ years of experience in securities compliance or law.
5+ years of broker dealer background in securities product offerings and investment advisory business practices
FINRA Series 7 and 24 required at time of application to handle supervisory and surveillance responsibilities
The Ideal Qualifications
Graduate degree or advanced professional designation preferred.
10+ years of experience working in financial services, specifically with broker dealers or investment advisor business practices.
Experience with business-related technology tools is preferred.
Ability to identify regulatory risks and supervisory control weaknesses to management.
Skill in developing and negotiating creative, practical compliance solutions.
Strong written and verbal communication skills; ability to generate precise documentation.
Analytical skills to identify and address a full range of compliance exposures.
Ability to manage multiple and changing priorities.
Excellent interpersonal, negotiation, and risk assessment skills.
What to Expect as Part of MassMutual and the Team
Regular meetings with Internal Compliance Teams and Law
Focused one-on-one meetings with your manager
Networking opportunities including access to Asian, Hispanic/Latinx, African American, women, LGBTQIA+, 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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Salary Range:
$115,900-$152,100At MassMutual, we focus on ensuring fair equitable pay, by providing competitive salaries, along with incentive and bonus opportunities for all employees. Your total compensation package includes either a bonus target or in a sales-focused role a Variable Incentive Compensation component.
Why Join Us.
We’ve been around since 1851. During our history, we’ve learned a few things about making sure our customers are our top priority. In order to meet and exceed their expectations, we must have the best people providing the best thinking, products and services. To accomplish this, we celebrate an inclusive, vibrant and diverse culture that encourages growth, openness and opportunities for everyone. A career with MassMutual means you will be part of a strong, stable and ethical business with industry leading pay and benefits. And your voice will always be heard.
We help people secure their future and protect the ones they love. As a company owned by our policyowners, we are defined by mutuality and our vision to put customers first. It’s more than our company structure – it’s our way of life. We are a company of people protecting people. Our company exists because people are willing to share risk and resources, and rely on each other when it counts. At MassMutual, we Live Mutual.
MassMutual is an equal employment opportunity employer. We welcome all persons to apply.
If you need an accommodation to complete the application process, please contact us and share the specifics of the assistance you need.
At MassMutual, we focus on ensuring fair, equitable pay by providing competitive salaries, along with incentive and bonus opportunities for all employees. Your total compensation package includes either a bonus target or in a sales-focused role a Variable Incentive Compensation component. For more information about our extensive benefits offerings please check out our Total Rewards at a Glance.