Risk Management Consultant

The Opportunity The

Risk Management 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. The Team The MML Investor Services, LLC Supervisory Controls Group (SCG) is a well-established team of experienced Principals working together to provide solutions for our Field representatives and management. Team members show high levels of business acumen in the areas of communications, accountability, and relationship management. With the experience and inquisitive nature or the group, stretch goals and other business challenges are assigned for individual growth/development adding additional value. The team shares an ability to be agile with process utilizing their expertise and self-development capability to improve efficiency and focus on ensuring that the operations are completed timely and with quality. The SCG seeks to provide the best-in-class partnership with team members, internal partners, and field associates. The Impact As a Risk Management Consultant your responsibilities will include, but not be limited to the following: 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.

The Minimum Qualifications 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

Candidates residing within 50 miles of the MassMutual Springfield, MA office will be required to work a hybrid schedule of 3 days a week.

The Ideal Qualifications 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

What to Expect as Part of MassMutual and the Team Regular meetings with the Supervisory Controls Group

Maintain and improve relationships with all business partners

Focused one-on-one meetings with your manager

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

MassMutual is an equal employment opportunity employer. We welcome all persons to apply. If you need an accommodation to complete the application process, please contact us and share the specifics of the assistance you need. California residents: For detailed information about your rights under the California Consumer Privacy Act (CCPA), please visit our California Consumer Privacy Act Disclosures page.