Wealth Management Risk Consultant
Springfield, Massachusetts Investment Management Job ID R14265The Opportunity
Are you a person who can use relevant data to make sound decisions? Can you choose the appropriate message and medium for the situation and audience? Do you address emerging problems with focus and urgency? If so, keep reading!
As an Wealth Management Risk Consultant you will join a team that is focused on identifying and resolving investment policy issues and providing the field with consultative operational support for wealth management programs including problem resolution and coordination with other internal resources. The Wealth Management Risk Consultant is also involved in the review of performance measurement and account data to provide support for best practices A successful team member quickly develops into the subject matter expert of our platforms and systems as it relates to supported programs.
The Team
The team has varied backgrounds and experience in the industry but share a developed business acumen, an agility to switch between support and analytical work as well as a really good communication skillset both internally and externally. The role of this team is a careful balance between a core support role of the advisors’ practices and participation in on-going internal oversight initiatives.
The Impact
The Advisory & Risk Oversight Team is a multi-tiered business unit that assists the Broker-Dealer in mitigating risk for the firm and its partners. This is accomplished by accurate, timely completion of the majority of the firm’s Supervisory Control Procedures.
Key Responsibilities Include:
Supporting the implementation and management of operational and supervisory procedures for the firm
Demonstrating the ability to effectively communicate with registered representatives such as; agency personnel, and internal business partners such as Compliance, Field Inspection, and Regional Supervisory Directors
Determining root cause of issues, provide solutions, and work independently to resolve matters
Reporting on the status of advisor as portfolio manager in supported programs through analysis including, but not limited to performance
The Minimum Qualifications
Bachelor’s degree in Business Administration, Finance or a related field
At least 3+ years of financial services, banking, insurance or regulatory experience
FINRA Series 7 & 24 at time of application or must obtain within 180 days
Proficient Microsoft Office skills
The Ideal Qualifications
FINRA Series 7 & 24 at time of application
Structured curiosity, specifically related to investment portfolio management
Knowledge of suitability , regbi, and fiduciary responsibilities as it relates to RIAs
High level critical thinking with a problem resolution mindset
Comfortable knowledge about security types and how they work
High level critical thinking with a problem resolution mindset
Exposure to and knowledge about investment process and performance measurement
Experience working with Investment Systems with a knack for picking up on system challenges quickly
What to Expect as Part of MassMutual and the Team
Regular meetings with the Investment Policy Support 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 nosiness with industry leading pay and benefits
#LI-CR41
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.
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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.