Job Location : Springfield,MA, USA
Compliance Consultant
Investment Advisory and Financial Planning Compliance Team
Full-Time (Hybrid - 3 days/week in office)
Boston, MA or Springfield, MA
The Opportunity
As a Compliance Consultant, you will be a part of a dynamic and collaborative team focused on assessing MML Investor Services, LLC's (MMLIS) compliance with investment advisory and broker-dealer requirements. Specifically, this role manages MMLIS' conflicts identification and mitigation program (the “Conflicts Program”). In collaboration with business partners (including senior leaders), the Compliance Consultant is responsible for identification of new conflicts, proposing mitigations (including disclosures), managing the MMLIS Conflicts Committee meetings, maintaining the MMLIS Conflicts Catalogue, and administering an annual conflicts certification.
In addition to the above, the Compliance Consultant will provide compliance consulting to our business partners related to various products, services, and platforms to ensure compliance with regulatory requirements, and drafts certain key regulatory reports, including the firm's annual 206(4)-7 report and 2020-02 retrospective report.
This position is based in Springfield or Boston and follows a hybrid work schedule.
The Team
The Investment Advisory and Financial Planning Compliance team collaborates with a variety of stakeholders to promote a culture of compliance with the Securities Exchange Act of 1944 and Investment Advisers Act of 1940, and ERISA standards, as applicable, as well as FINRA, SEC, DOL and state regulatory requirements. We seek to offer clear and actionable compliance guidance and influence business partners to ensure they have the knowledge and tools necessary to navigate the complex regulatory landscapes with integrity and success.
The Impact:
As a Compliance Consultant, your responsibilities will include, but are not limited to the following:
The Minimum Qualifications
The Ideal Qualifications
What to Expect as Part of MassMutual and the Team
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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.If you need an accommodation to complete the application process, please contact us and share the specifics of the assistance you need.