Compliance Consultant

Compliance Consultant

Affiliated Distribution Compliance Team

Full-Time 

Springfield, MA

The Opportunity

The Agency Relations team serves as a critical link between our firm and affiliated agencies, ensuring strong partnerships, compliance alignment, and operational excellence. As an Agency Relations Specialist, you will play an integral role in supporting key processes that enhance agency engagement, streamline operations, and uphold compliance standards.

You will be part of a dynamic and collaborative team that manages compliance reporting requirements for individuals associated with MML Investor Services, LLC. This includes 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 moderate compliance evaluations, adjust procedures, and identify key risks. This position is based in Springfield 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 integrityand success.

The Impact

As a Compliance Consultant, your responsibilities will include, but are not limited to:

• Maintain comprehensive records and reporting to support transparency and informed decision-making.

• Overseeintakemailboxes to ensure timely processing of low-risk items, create cases in A360 for complex matters, and delegate tasks effectively tomaintainworkflow efficiency.

• Coordinate the preparation of annual Home Office Personal Interviews, including conducting social media surveillance reviews to ensurecomplianceintegrity.

• Collaborate on resolving escalated issues by providing research and coordination to ensure compliance with regulatory requirements and internal policies.

• Contribute to strategic initiatives that improve agency engagement, operational efficiency, and overall service experience.

• Assistin delivering clear,accurate, andtimelycommunication between internal teams and affiliated agencies to support operational and compliance objectives.

• Support the creation and implementation of compliance education and resources that strengthen agency understanding and ensure adherence to regulatory standards.

• Modify procedures or processes andundertake fact-gathering and investigation activities to monitor the effectiveness of controls.

• SupportHomeOfficeComplianceprocessesto ensuretimelyandaccuratecompletion of regulatory requirements.

The Minimum Qualifications

• Bachelor’s degree;in lieu of abachelor's degree,1+years of compliance or financial services experience

• 1+years ofproficiencyin Microsoft Office Suite

• Due to the nature of this position, as 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 Qualifications

• Experience in agency relations

• Strong analytical and problem-solving abilities with attention to detail.

• Ability to adapt to evolving priorities and deliver in a fast-paced environment.

• Familiarity with social media monitoring tools and compliance review processes.

• Ability and willingness to develop innovative and actionable solutions.

• Skill in managing multiple and changing priorities.

• Outstanding interpersonal, negotiation, and risk assessment competencies.

• Ability to work effectively with internal clients across all levels and areas of the organization.

• Strong business acumen.

• Excellent communication and relationship-building skills with a proactive mindset.

• Ability to manage multiple priorities and work collaboratively across teams.

• Experience with case management systems (e.g., A360) is a plus

What to Expect as Part of MassMutual and the Team

• Regular meetings with the Agency Relations Team.

• Focusedone-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.

• Two days annually dedicated to your professional and personal development.

• Your ethics and integrity will be valued by a company with a strong and stable ethical foundation, offering industry-leading pay and benefits.

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