Mutual Opportunities
Compliance Consultant
Springfield, Massachusetts; Boston, Massachusetts
Thank you to our employees for voting us one of the top places to work in Massachusetts for five consecutive years!
Overview
A career with us means you’ll work alongside exceptional people and be empowered to reach your professional and personal goals. Our employees are at the foundation of what enables MassMutual to deliver on our purpose to help people secure their futures and protect the ones they love.
We embrace the idea that we all are stronger and better through our support for one another. We strive to create a culture where employees feel valued and are celebrated for who they are.
“Since our founding in 1851, mutuality has put our policyowners at the center of everything we do. At our core, we’re a company of people helping people in their time of need, and that spirit extends to the culture we’ve built at our company. Our employees support and rely on each other each day, collaborating to deliver the best solutions for our customers and help millions more secure their future and protect the ones they love.”
Job Description
Compliance Consultant
Affiliated Distribution Compliance; Education, Policy and Agency Relations Team
Full-Time
Springfield, MA or Boston, MA
The Opportunity
As a Compliance Consultant, you will be a part of a dynamic and collaborative team. Your role includes assessing compliance reporting requirements for individuals associated with MML Investor Services, LLC. This covers compliance attestations, political contributions, third-party product sponsor reimbursements, MMFA agency sales campaigns, manual accounts, private securities transactions, and personal securities accounts. Additionally, you will perform moderately complex compliance evaluations, conduct oversight activities, adjust procedures, and pinpoint key risks to senior leaders. This position is based in Springfield or Boston and follows a hybrid work schedule.
The Team
The Education, Policy and Agency Relations team collaborates with a variety of stakeholders to promote a culture of compliance through comprehensive education, robust policies and procedures and seamless service delivery. By prioritizing relationship building and transparent communication, we strive to cultivate a collaborative environment that equips our customers with the knowledge, tools, and resources they need to navigate regulatory landscapes with integrity and success.
The Impact:
As a Compliance Consultant, your responsibilities will include, but are not limited to the following:
- Compliance Reporting: Evaluate compliance reporting obligations for various activities such as compliance attestations, political contributions, third-party reimbursements, agency sales campaigns, manual accounts, private securities transactions, and personal securities accounts.
- Project Guidance: Work with guidance on more complex projects and conduct moderately complex compliance evaluations, oversight activities, and reporting.
- Procedure Modifications: Modify procedures or processes and undertake fact gathering and investigation activities to monitor effectiveness of controls.
- Analytical Skills: Strong analytical, problem-solving, and decision-making skills and ability to interpret and apply complex and changing compliance requirements.
- Risk Reporting: Identify, compile, and interpret key risks and trending data for reporting to senior leaders.
- Communication and Relationships: Outstanding ability to articulate, present, and engage with diverse groups, build and sustain relationships, and act as the team's representative on compliance issues.
The Minimum Qualifications
- Bachelor’s degree or relevant broker dealer or 3+ years of compliance experience required.
- FINRA Principal Securities Registration required, Series 6 and Series 26 minimum or willingness to obtain registrations within 90 days of hire.
The Ideal Qualifications
- Series 7 and 24 preferred or willingness to obtain registrations within 90 days of hire.
- Capability and readiness to identify regulatory risks and weaknesses in supervisory controls and raise these issues to mid and senior-level management.
- Ability and willingness to develop innovative and actionable solutions that meet regulatory requirements while balancing the needs of our customers.
- Exceptional written and verbal communication skills with the ability to generate precise and thorough documentation.
- Strong analytical abilities, enabling the effective identification, communication, and resolution of various potential compliance risks.
- Skill in managing multiple and changing priorities.
- Outstanding interpersonal, negotiation and risk assessment competencies.
- Ability to deal effectively with internal clients across all levels and areas of the organization.
- Exhibits a strong business acumen.
What to Expect as Part of MassMutual and the Team
- Regular meetings with the Education, Policy and Agency Relations Team
- Focused one-on-one meetings with your manager
- Access to mentorship opportunities
- 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
#LI-FT1
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. The job description includes the main duties of this position, which may evolve over time. You may be required to perform other duties not listed.
It is unlawful in Massachusetts to require or administer a lie detector test as a condition of employment or continued employment.
Salary Range: $86,200.00-$113,100.00
Hiring Process
Explore
Explore our open jobs by clicking 'search jobs' to find a position that aligns with your experience and skills. You may also consider joining our Talent Network.
Apply
Click the “apply” button on that job posting to complete and submit your application. Your application will be reviewed by a recruiter, which, due to the volume of applications received, may take some time as we carefully consider each application.
Screen
After your application has been reviewed, if you meet the qualifications for the role, a recruiter will reach out to you to start a conversation.
Interview
If you are invited for an interview, you will be scheduled to meet with the hiring manager and hiring team.
Offer
If you are extended an offer to join MassMutual and accept, your start will be contingent upon a satisfactory background check.
Hire
If you accept the offer, we will be so excited to welcome you to the MassMutual community!
If you need an accommodation to complete the application process, please contact us and share the specifics of the assistance you need.
By the numbers*
- 88% of employee respondents say they are proud to work at MassMutual
-
90
% of employee respondents say they feel encouraged to bring forth new ideas - 86% of employee respondents say MassMutual cares about and supports the well-being of their employees
*Source: 2024 MassMutual employee engagement survey
Award-Winning Culture
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 and participating policyowners, we are defined by mutuality and our vision to provide financial well-being for all Americans. 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.
We strive to build a thriving community where everyone is valued, included, and feels that they belong.
At MassMutual, we Live Mutual.
How We Work
MassMutual’s flexible workplace approach combines the importance of connecting in person and the flexibility of working remotely. Our hybrid model puts collaboration first with employees coming in at least three days per week to our spectacular campus settings and also enjoying the flexibility of remote Fridays, company-wide remote weeks, and a bank of flexible remote weeks to use throughout the year.
Benefits for the whole you (and your loved ones)
There’s more to your life than your job and there’s more to your aspirations than a paycheck. We take a holistic view of compensation and benefits that provides the flexibility to create a healthy balance in your life for work, family, and community. We offer the benefits you’d expect, like medical, dental, 401(k), and generous vacation time, but we also offer ones you might not expect, like three paid days for volunteering, a $1,250 annual Well-Being Wallet, and up to 320 hours of caregiver leave.
Explore some of our offerings below. Benefit details can be found here.
Why MassMutual?
Kevin
Compliance Consultant
Seth
Service Management Consultant
Kymberly
Head of Experience Journey Mapping
where we work
Springfield Office
1295 State Street, Springfield, MA
Boston Office
10 Fan Pier Blvd, Boston, MA
New York Office
2 Park Ave,
New York, NY
Virtual
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