MassMutual · 2 months ago
Regulatory Operations Consultant
HARTFORD, CT
Full-time
Onsite
Mid Level
3+ years expMassMutual is a firm focused on mitigating risk through effective regulatory operations. The Regulatory Operations Consultant will evaluate exception reporting to ensure compliance with supervisory controls and regulations, while collaborating across various teams to enhance operational efficiency.
FinanceFinancial ServicesInsuranceLife InsuranceRetirement
Responsibilities
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
Qualification
Required
High School Diploma or GED
Series 7 at time of application or must obtain within 6 months
Series 24 at time of application or must obtain within 6 months
3+ years experience in the financial services industry
1+ year of experience with brokerage products, program policies and provisions, and state and federal law
1+ year of experience with Microsoft Office (Excel, Word, PowerPoint)
If candidate does not currently hold FINRA Licenses at time of application, then due to the nature of this position, as a part of our background check process, candidates must be able to pass a non-registered fingerprint background check to qualify as a fingerprinted person under FINRA
Preferred
Bachelor's Degree
Series 7 and 24 at time of application
Compliance or supervision experience with a FINRA registered Broker-Dealer and/or SEC Registered Investment Advisor
Critical Thinking: thoughtful process of analyzing data and problem-solving data to reach a well-reasoned solution
Ability to partner effectively to drive our culture and execute on our common goals
Appreciation and understanding of the financial services industry in order to make sound business decisions
Able to use knowledge and skills to monitor advisory and brokerage assets, complete regulatory reporting and assist the firm in maintaining proper compliance with company policy, FINRA, SEC, and state regulatory rules with limited supervision
Ability to identify opportunities for operational efficiency and productivity improvements to mitigate financial, reputational and regulatory risk and to update processes with management approval
Self-motivated and has personal accountability to achieve career development by leveraging resources available
Benefits
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
Company
MassMutual
MassMutual is a mutual life insurance company that provides investment management and trust services.
5001-10000 employees
H1B Sponsorship
MassMutual has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (96)
2024 (94)
2023 (66)
2022 (115)
2021 (121)
2020 (73)
Funding
Current Stage
Late StageLeadership Team
Eddie Ahmed
Chairman, President & CEO
Roger W. Crandall
Chairman, President & CEO
Recent News
2026-01-18
2025-12-25
Company data provided by crunchbase