Note: The job is a remote job and is open to candidates in USA. MassMutual’s MML Investor Services, LLC is hiring a Risk Management Consultant to perform delegated trade review and surveillance. The role supports field management by identifying and mitigating potential risks or noncompliance, coordinating corrective actions, and communicating trends and regulatory matters to business partners and senior management.
Responsibilities
- Perform trade surveillance and monitoring activities while appropriately documenting and proactively identifying potential risks and/or violations of policies or regulations specifically within the firm’s trade review systems
- Collaborate with trending department, field management, and business partners as needed to assist with development of corrective action plans designed to eliminate or reduce potential risks
- Regularly monitor and communicate surveillance or sales practice trends to relevant business partners and senior management
- Work efficiently and effectively to meet or exceed Firm benchmarks for timeliness and productivity
- Partner with Compliance, Field and Home Office business partners on regulatory matters and surveillance escalations
- Keep current with Firm policies and the regulatory environment
- Upon request from management, perform ad hoc projects, reviews or other duties as required or assigned
- Focus on the customer, act with integrity, value people, work collaboratively and achieve results
Skills
- Series 7 and 24 required at time of application
- 3+ years' experience in the financial services industry
- 2+ years' broker dealer experience
- High School Diploma
- 5+ years of broker dealer or compliance experience
- Series 53 & 4
- System knowledge: Envestnet/MAS, BPM, Wealthscape, and/ or FBSI
- Works independently while collaborating with management, business partners and Compliance
- Knowledge of trade review systems, computer skills, analytical competency and sound decision-making capacity
- Strong Microsoft office skills including Outlook, Excel, PowerPoint and Word
- Superior customer service, relationship building and communication skills
- Excellent interpersonal skills; team player, self-motivated; patient demeanor; approachable style
- Change agent experience with a constant focus on continuous improvement
- Inclusive approach to working with the team and the ability to “listen to understand”
- High aptitude for effective problem resolution
Benefits
- Remote work; candidates residing within 50 miles of the MassMutual Springfield, MA office are required to work a hybrid schedule of 3 days a week.
- Clear areas of ownership and accountability, with work that connects directly to company and customer outcomes
- A collaborative environment where perspectives are welcomed
- Access to learning, development, and internal networks that support continuous growth and skill-building over time
- Employee-led communities and forums that foster connection, learning, and inclusion across the organization
- A culture grounded in integrity, responsibility, and stewardship
Company Overview
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