Compliance Consultant
Compliance Consultant, Broker-Dealer & Investment Adviser Testing; MMFA Compliance
The Opportunity
You will be responsible for assessing internal and external compliance risks of the Broker-Dealer and Investment Adviser. Generally, you will assess these risks by testing the effectiveness of policies and procedures through transactional testing. You may also be responsible for developing mitigation plans and influencing reasonable mitigative solutions.
The Team
The Broker-Dealer & Investment Adviser Testing team is a small, high performance team of Compliance Consultants ranging from 5 to 20 years in financial services and compliance. Team members excel in business acumen, accountability and self-awareness competencies to identify and mitigate risks through testing and influence compliance solutions through evidence-based business reviews.
The Impact:
You will be responsible for work with a defined scope and short term focus
Obtain and examine large data sets to isolate efficient testing samples
Perform sample testing to verify effective controls or identify weaknesses and assess risks with guidance of the identified gaps
Leverage observations to influence policy and/ or procedure enhancements
Be willing to take risks, investigate leads and master specific and general business processes.
Establish, evolve, and maintain relationships with business partners built on trust and accountability
The Minimum Qualifications
2+ years of financial services related experience
Strong written and verbal communication
The Ideal Qualifications
Series 7 and 24 or the motivation to obtain them
Advanced skills with Microsoft Office or similar software
Background in fast paced production or operations environment.
What to Expect as Part of MassMutual and the Team
Regular meetings with the Broker-Dealer and Investment Adviser Testing 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 business with industry leading pay and benefits
About MassMutual
We've been around since 1851. During our history, we've helped millions of people find financial freedom, offer financial protection, and plan for the future.
Today, we continue to develop meaningful relationships with our customers by building their trust, being knowledge problem solvers and always prioritizing their needs. MassMutual is guided by a single purpose: We help people secure their future and protect the ones they love. As a company owned by our policyowners, 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.
MassMutual was recognized as an Ethisphere 2020 World's Most Ethical Company, a Top Place to Work in 2020 according to The Boston Globe and named among America's Best Employers for Diversity according to Forbes 2020.
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
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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.