Risk Management Consultant
Overview
A career with us means you'll work alongside exceptional people and be empowered to reach your professional and personal goals. Our employees are at the foundation of what enables MassMutual to deliver on our purpose to help people secure their futures and protect the ones they love.
We embrace the idea that we all are stronger and better through our support for one another. We strive to create a culture where employees feel valued and are celebrated for who they are.
Job Description
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
#LI-JF1
#LI-REMOTE
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. MassMutual will accept applications on an ongoing basis until such time as a candidate has been offered employment. The job description includes the main duties of this position, which may evolve over time. You may be required to perform other duties not listed.
It is unlawful in Massachusetts to require or administer a lie detector test as a condition of employment or continued employment.
Salary Range: $84,100-$110,300
Award-Winning Culture
MassMutual is guided by a single purpose: We help people secure their future and protect the ones they love. As a company operated for the benefit of our members and participating policyowners, we are defined by mutuality and our vision to provide financial well-being for all Americans. 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.
We strive to build a thriving community where everyone is valued, included, and feels that they belong.
At MassMutual, we Live Mutual.
How We Work
MassMutual's flexible workplace approach combines the importance of connecting in person and the flexibility of working remotely. Our hybrid model puts collaboration first with employees coming in at least three days per week to our spectacular campus settings and also enjoying the flexibility of remote Fridays, company-wide remote weeks, and a bank of flexible remote weeks to use throughout the year.
Benefits for the whole you (and your loved ones)
There's more to your life than your job and there's more to your aspirations than a paycheck. We take a holistic view of compensation and benefits that provides the flexibility to create a healthy balance in your life for work, family, and community. We offer the benefits you'd expect, like medical, dental, 401(k), and generous vacation time, but we also offer ones you might not expect, like three paid days for volunteering, a $1,250 annual Well-Being Wallet, and up to 320 hours of caregiver leave.
Explore some of our offerings below.
Paid Time Off
In addition to generous vacation time, paid holidays, and flexible holidays, MassMutual offers 'take care' time to care for yourself or someone you love—whether for physical illness or mental health.
Health & Well-Being
In addition to top-line medical and dental coverage, personalized mental health solutions, on-site and virtual health coaching, and much more, MassMutual reimburses employees up to $1,250 per year for eligible expenses supporting mental, physical, and financial well-being.
Financial Well-Being
In addition to competitive salaries and bonuses, educational assistance programs, and much more, MassMutual offers up to a 10% total 401(k) benefit, consisting of a 5% company match and a 5% annual contribution.
Taking Care
MassMutual offers generous maternity and parental leaves, as well as bereavement leave to mourn the loss of a loved one (and the employee defines 'loved one'). In addition, we offer up to 320 hours of caregiver leave to help employees support loved ones in times of need.
Giving Back
MassMutual offers three paid days for employees to volunteer with eligible nonprofits of their choice, and the MassMutual Foundation matches employee donation dollars to eligible nonprofit organizations up to $5,000 annually.
Commuter Benefits
MassMutual offers a Qualified Commuter Program through which eligible employees can pay qualified workplace commuting expenses with before-tax dollars, as well as a commuter wallet option for employees based at Boston and NYC campuses.