Regulatory Operations Consultant

MassMutual•Springfield, MA

About The Position

The Opportunity If you’re energized by solving complex problems, digging into details, and playing a direct role in protecting a firm from financial and regulatory risk, this is the role for you. As a Regulatory Operations Consultant , you’ll evaluate exception reporting, ensure compliance with supervisory controls, and help uphold state, FINRA, and SEC standards. You’ll document your findings, partner across multiple business areas, and build relationships with field leaders who rely on your expertise. This is a high‑impact role where your curiosity, judgment, and analytical skills will directly influence the firm’s risk posture. You’ll join a team that actively invests in your growth, supports your ambitions, and wants to see you reach your career goals. The Team You’ll join the Supervisory Control Procedures Team —a collaborative, multi‑tiered group dedicated to protecting the firm and its partners. The team is known for: Strong accountability and attention to detail Agility in navigating evolving regulatory demands Inclusive teamwork and open communication Courage to ask tough questions and take on difficult issues Continuous learning and strong business acumen The Impact In this role, you’ll be a key player in ensuring the firm remains compliant, efficient, and well‑protected from regulatory risk. You’ll use your judgment, research skills, and problem‑solving mindset to: Review trade activity, money movement, and documentation across brokerage and RIA platforms Ensure all activity aligns with firm policies, supervisory controls, and industry regulations Strengthen internal controls and help prevent violations before they occur Identify process improvements and enhance back‑office procedures Provide clear, confident guidance to internal and external partners Deliver training as needed and serve as a resource across the business Navigate difficult issues professionally and proactively Balance attention to detail with an understanding of the broader regulatory landscape You’ll have the opportunity to make meaningful improvements, recommend operational efficiencies, and contribute to a culture of compliance, integrity, and continuous improvement.

Requirements

High School Diploma or GED
Series 7 & 24 at time of application or must obtain within 6 months
3+ years experience in the financial services industry
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

Nice To Haves

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
1+ year of experience with policies and provisions as it relates to brokerage products, state and federal law
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

Responsibilities

Review trade activity, money movement, and documentation across brokerage and RIA platforms
Ensure all activity aligns with firm policies, supervisory controls, and industry regulations
Strengthen internal controls and help prevent violations before they occur
Identify process improvements and enhance back‑office procedures
Provide clear, confident guidance to internal and external partners
Deliver training as needed and serve as a resource across the business
Navigate difficult issues professionally and proactively
Balance attention to detail with an understanding of the broader regulatory landscape
Recommend operational efficiencies
Contribute to a culture of compliance, integrity, and continuous improvement

Benefits

Regular meetings with the Supervisory Control Procedures Team
Focused one-on-one meetings with your manager
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
industry leading pay and benefits

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