Communications Compliance Consultant
Boston, Massachusetts Compliance Job ID R15405Communications Compliance Consultant
Communications Compliance Team
Full-Time
Boston, MA or Springfield, MA
The Opportunity
As a Communications Compliance Consultant, you are primarily responsible for reviewing advertising and marketing material submitted by Home Office business partners from areas such as Marketing and the Broker Dealer/Corporate Registered Investment Adviser (MML Investors Services, LLC), as well as, from Financial Professionals in our field offices.
The Team
The Communications Compliance Team is comprised of seasoned professionals with an average tenure of 17 years. Our team is focused on managing the communications compliance risk for the Company through our field, home office, and social media marketing review systems. From a Home Office perspective, our team primarily reviews any marketing material created for use by our field force that is non-product related. We also review all material created by our Broker Dealer and Corporate Registered Investment Adviser including some vendor created content. From a Financial Professional perspective, our team reviews all marketing material that promotes interest in MassMutual/ MML Investors Services, LLC, our products and services, as well as interest in our Financial Professionals. We also review awards/rankings, titles, designation requests, and Doing Business As (DBA) names.
Our team mission is to understand the goals of our business/field partners and to help them accomplish those goals by taking a risk-based, solutions-oriented approach, while also maintaining compliance with various insurance and securities regulations.
The Impact
To help MassMutual live up to its brand promise and improve the customer experience, advertising and marketing material must be reviewed in accordance with applicable state and federal regulations to help ensure our customers are receiving accurate, timely, and helpful information that is on point with our brand and high ethical standards.
Additional duties include responsibility for fostering and sustaining collaborative business partner and field office relationships by taking a risk-based and solutions-oriented approach to reviewing material. We consistently focus on bringing our business/field partners additional resources to assist them with the creation and submission of their material and strive to improve efficiency through continuous improvement efforts.
The Minimum Qualifications
- 4+ years of experience in the advertising and marketing material review space.
- Series 7 and 24 registrations
The Ideal Qualifications
- Strong Investment Advisory experience
- College degree
- Proficient in Microsoft Office Suite
- Possesses a can-do attitude, has a passion for delivering outstanding customer service, and has a solutions-oriented, risk-based mindset and can operate within “the gray.” Is empathic to the needs and goals of our business/field partners and demonstrates a sense of urgency when handling submissions.
- Motivated self-starter, excellent verbal and written communication skills, problem solver, organized, works autonomously, and can balance their workload while also participating in projects/initiatives.
- Team player, who can work collaboratively with business and field partners to develop or modify business operating policies and procedures to help ensure compliance with applicable regulations.
- Demonstrated ability to champion and adapt quickly to change, increasing data literacy, and increasing utilization of technology and automation
- Series 4
What to Expect as Part of MassMutual and the Team
- Balancing multiple priorities at one time
- Regular meetings with the Communications 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
#LI-CM1
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.
MassMutual will accept applications on an ongoing basis until such time as a candidate has been offered employment.
Salary Range: $107,700.00-$141,300.00 ApplyJobs Like This One
- Investment Compliance Consultant Boston, Massachusetts
About MassMutual®
At MassMutual, we believe in the value of being together in our offices and in personal flexibility.
Our work environment is one where the majority of our team members work a hybrid schedule — working at least three days in the office (Tuesday, Wednesday and a third day) and the rest remotely, balancing flexibility with in-person collaboration. While the majority of our employees follow this hybrid model, some of our roles continue to be 100% on-site and others may be 100% remote, subject to business needs.
MassMutual is guided by a single purpose: We help people secure their future and protect the ones they love. As a company operated for the benefit of our members, policyowners and customers, 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.