Compliance Consultant

MassMutual • Springfield, MA

13d

About The Position

Join the Emerging Technology and Communications Compliance Team, part of Compliance and Ethics, supporting MassMutual’s Broker Dealers and Investment Advisory businesses. You’ll collaborate with home office and field supervisory staff, providing compliance oversight for MML Investors Services LLC (MMLIS), MMLIS’ Investment Advisor (CRIA), MML Strategic Distributors LLC (MSD), and MML Distributors LLC (MMLD).
The E-Comm and Wealth Management Data Infrastructure Team is comprised of Compliance Consultants with 15 + years’ experience working with broker dealers. The team has extensive business acumen, collaboration, and communications skills. These skills are needed to interact with executive and strategic leadership of the four MassMutual broker dealers.
As a Compliance Consultant, your responsibilities will include but not be limited to the following:
Serve as a Compliance business partner for Marketing, Marketing Platforms, and Corporate Social Teams, coordinating project support for business and marketing initiatives. Act as the Social Media contact for the Communications Compliance team, attending meetings and calls to discuss policy guidelines. Maintain and update social media governance for Field and Home Office, including policy standards and supervisory review models. Develop, initiate, and revise policies and procedures for the social media compliance program; respond to regulatory inquiries, conduct audits, and recommend remediation for violations. Review Field and Home Office social media content using Patrol and Sprinklr; advise partners on compliant use of social platforms and alternate tools. Provide firm and advisor-level training, including enablement decks and onboarding for new Agency Supervisory Officers. Serve as Patrol system administrator, troubleshooting system issues and leading weekly calls. Support Broker Dealer Surveillance systems (Proofpoint, Proofpoint Patrol); manage rule sets, hierarchies, and vendor interactions. Educate and inform senior and executive management on compliance issues to avoid regulatory, financial, and reputational exposure. Proactively interpret regulations and company policy for staff and management .

Requirements

• Bachelor’s Degree
• 5 + years of experience in securities compliance or law.
• 5 + years of broker dealer background in securities product offerings and investment advisory business practices
• FINRA Series 7 and 24 at time of application to handle supervisory and surveillance responsibilities

Nice To Haves

• G raduate degree or advanced professional designation preferred.
• 10 + years of experience working in financial services, specifically with broker dealers or investment advisor business practices.
• Experience with business-related technology tools is preferred.
• Ability to identify regulatory risks and supervisory control weaknesses to management.
• Skill in developing and negotiating creative, practical compliance solutions.
• Strong written and verbal communication skills; ability to generate precise documentation.
• Analytical skills to identify and address a full range of compliance exposures.
• Ability to manage multiple and changing priorities.
• Excellent interpersonal, negotiation, and risk assessment skills.

Responsibilities

• Serve as a Compliance business partner for Marketing, Marketing Platforms, and Corporate Social Teams, coordinating project support for business and marketing initiatives.
• Act as the Social Media contact for the Communications Compliance team, attending meetings and calls to discuss policy guidelines.
• Maintain and update social media governance for Field and Home Office, including policy standards and supervisory review models.
• Develop, initiate, and revise policies and procedures for the social media compliance program; respond to regulatory inquiries, conduct audits, and recommend remediation for violations.
• Review Field and Home Office social media content using Patrol and Sprinklr; advise partners on compliant use of social platforms and alternate tools.
• Provide firm and advisor-level training, including enablement decks and onboarding for new Agency Supervisory Officers.
• Serve as Patrol system administrator, troubleshooting system issues and leading weekly calls.
• Support Broker Dealer Surveillance systems (Proofpoint, Proofpoint Patrol); manage rule sets, hierarchies, and vendor interactions.
• Educate and inform senior and executive management on compliance issues to avoid regulatory, financial, and reputational exposure.
• Proactively interpret regulations and company policy for staff and management

Benefits

• Regular meetings with Internal Compliance Teams and Law
• Focused one-on-one meetings with your manager
• Networking opportunities including access to Asian, Hispanic/Latinx, African American, women, LGBTQIA+, 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

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Number of Employees: 5,001-10,000 employees