Field Compliance Consultant

Field Compliance Consultant
Field Compliance, Compliance and Ethics
Full-Time
Remote- Denver, CO or Dallas, TX

Note: Travel is required for this role.

The Opportunity

Compliance empowers people to do the right thing by fostering a culture of ethics and integrity throughout the company. We have visibility inalmost every aspect of our business, so we are uniquely situated to connect the dots and provide innovative solutions. There is no “typical day” in compliance – If you’re looking for a challenging opportunity to work on a dynamic, highly collaborative team with a noble purpose, you’ll love compliance.

The Team

The Field Compliance team is responsible for a variety of critical compliance functions. It also has a high degree of influence on business operating policies and procedures designed to ensure compliance with applicable laws and regulatory standards and may make recommendations which can significantly impactthe organization.

The Impact

• Partner with MassMutual Financial Advisors to proactively deliver highly valued, risk-based support promoting a culture of compliance and ethics in the Field across all business lines.

• Conduct fair and thorough inspections of agencies and draft tailored findings and meaningful risk-based remediation recommendations.

• Monitor, investigate, remediate, and report on highly complex matters within the Company.

• Conduct surveillance of securities business and follow up on findings with agencies.

• Employ knowledge and insights gained through agency inspection visits to fully understand agency infrastructure and enhance the quality of ongoing, risk-based guidance.

• Provide timely and practical compliance advice to members of the MMFA, including advice on handling producer misconduct and other general supervisory issues.

• Modify procedures or processes. Undertake fact gathering and investigation activities to monitor the effectiveness of implementation within areas of responsibility.

• Develop and deliver training that is tailored to the needs of MMFA Field Partners.

• Drive follow-up and remediation of potential findings arising from trend reporting and data analytics activity.

• Ability to use business knowledge and understand customer needs to maximize benefits as well as efficiency.

• Relationship building skills, the ability to “listen to understand” are a must to develop a holistic and comprehensive understanding of the agencies the Consultant will be assigned to.

• The candidate must exhibit a superior ability to adapt by anticipating change and quickly adjusting to meet evolving needs, priorities, and opportunities.

Candidates residing within 50 miles of our Springfield MassMutual office must work a Hybrid schedule of 3 days a week in the office

The Minimum Qualifications

• High school diploma or equivalent, General Education Diploma

• 4+ years of experience and understanding of financial and insurance products

• Series 7 and Series 24at time of application

• Ability to travel to Agencies in the US. Anticipated travel obligations will be up to 6-10 weeks per year.

The Ideal Qualifications

• Bachelor’s Degree, MBA, JD, and other designations such as CLU, ChFc, and CRCP preferred

• Series 53 preferred

• Excellent verbal and written communication skills

• Strong organizational skills

• Ability to collaborate and maintain strong working relationships

• Demonstrated ability to champion and adapt quickly to change

• Detail oriented with excellent analytical and problem-solving skills

What to Expect as Part of MassMutual and the Team

• Regular meetings with the Field Compliance team 

• 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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