Risk Management Consultant

Risk Management Consultant

The MML Investor Services, LLC Supervisory Controls Group

Full time, Remote

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 You Can Expect at MassMutual

MassMutual offers the opportunity to do meaningful work within a purpose-driven organization that values long-term impact over short-term outcomes. In this role, you can expect:

• Clear areas of ownership and accountability, with work that connects directly to company and customer outcomes

• A collaborative environment where perspectives are welcomed

• Access to learning, development, and internal networks that support continuous growth and skill-building over time

• Employee-led communities and forums that foster connection, learning, and inclusion across the organization

• A culture grounded in integrity, responsibility, and stewardship—supported by a company with a strong legacy and a future-focused mindset

Salary Range:

At MassMutual, we focus on ensuring fair equitable pay, by providing competitive salaries, along with incentive and bonus opportunities for all employees. Your total compensation package includes either a bonus target or in a sales-focused role a Variable Incentive Compensation component.

Why Join Us.

We’ve been around since 1851. During our history, we’ve learned a few things about making sure our customers are our top priority. In order to meet and exceed their expectations, we must have the best people providing the best thinking, products and services. To accomplish this, we celebrate an inclusive, vibrant and diverse culture that encourages growth, openness and opportunities for everyone. A career with MassMutual means you will be part of a strong, stable and ethical business with industry leading pay and benefits. And your voice will always be heard.

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. We are a company of people protecting people. Our company exists because people are willing to share risk and resources, and rely on each other when it counts. At MassMutual, we Live Mutual.

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.

At MassMutual, we focus on ensuring fair, equitable pay by providing competitive salaries, along with incentive and bonus opportunities for all employees. Your total compensation package includes either a bonus target or in a sales-focused role a Variable Incentive Compensation component. For more information about our extensive benefits offerings please check out our Total Rewards at a Glance.

Originally posted on Himalayas