Regulatory Operations Consultant

The Opportunity

As a Regulatory Operations Consultant you will be responsible for mitigating risk for the firm by evaluating exception reporting to ensure adherence to the firm's supervisory controls as well as state, FINRA, and SEC rules and regulations. Once review is complete, ensure evaluation is reflected in comprehensive documentation for each case. This is an excellent opportunity to collaborate with several different areas within the firm, as well as with our partners in the field. You will be part of a team that encourages your growth, supports your ambitions and makes it a priority to reach your goals.

The Team

The Supervisory Control Procedures Team is a multi-tiered business unit that assists the Broker-Dealer in mitigating risk for the firm and its partners. This is accomplished by accurate, timely completion of the majority of the firm's Supervisory Control Procedures. Members of the team demonstrate accountability, agility, a dedication to be inclusive, a strong business acumen, and will show courage, even in the most difficult situations. We highly value strong communication skills, a passion for learning, leadership traits, resilience, and self-awareness.

The Impact

We are looking for an individual who is self-motivated, accountable, and focused on development. You will leverage resources available, identify opportunities for operational efficiency and to mitigate financial, reputational, and regulatory risk, and update processes with management approval. You will also demonstrate the flexibility to work both independently and collaboratively within a diverse team environment. Key responsibilities include :

• Review trade activity, money movement, and supporting documentation for standard brokerage and RIA platforms to ensure compliance with policies, procedures, and regulatory requirements in relation to Supervisory Controls
• Adhere to control systems to prevent or deal with violations of legal guidelines and internal policies
• Enhancement of back-office processes, risk mitigation through research, and implementation / management of operational and supervisory procedures
• Responds to complex questions from internal and external customers regarding program guidelines and administrative procedures
• Coordinates and delivers training as needed
• Confront difficult issues and conflict in a professional, assertive, and proactive manner
• Attend to detail while maintaining a big picture perspective
• Other duties as assigned, including other supervisory and / or operations functions

The Minimum Qualifications

The Ideal Qualifications

What to Expect as Part of MassMutual and the Team

#LI-DK1 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.

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