Regulatory Operations Consultant
The Regulatory Operations Consultant is responsible for performing delegated trade review and surveillance to support field management to mitigate and identify potential risks and/or noncompliance issues with MML Investors Services LLC (?MMLIS?) policies or laws and regulations as required by FINRA, the SEC and state insurance and securities divisions.
Daily and monthly 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.
Required skills and qualifications - The qualifications that are needed for this role:
- Must have Series 7 and 24 or equivalent.
- 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.
- 3+ years? related Broker dealer experience with high business acumen.
- Excellent interpersonal skills; team player, self-motivated; patient demeanor; approachable style.
- Bachelor?s degree.
- Change agent experience with a constant focus on continuous improvement.
- Candidate must have an inclusive approach to working with the team and the ability to ?listen to understand?. what our customers are looking to accomplish
Preferred Qualifications - Additional skills that are considered a PLUS+ but not required
- Series 4 and/or 53.
- 5+ years of broker dealer or compliance experience.
- System knowledge: Envestnet/MAS, BPM, Wealthscape, and/ or FBSI.
- High aptitude for effective problem resolution.
- Must be able to think independently and tactfully challenge the opinions of others.
- Passion for embracing business process improvement opportunities.
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MassMutual Financial Group is an Equal Employment Opportunity employer Minority/Female/Sexual Orientation/Gender Identity/Individual with Disability/Protected Veteran. We welcome all persons to apply.