Regulatory Operations Consultant

MassMutual•Springfield, MA

5d•Onsite

About The Position

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. 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!

Requirements

High School Diploma
Series 7 & 24 at time of application or must obtain within 6 months of hire date
2+ years experience in the financial service industry OR 1+ year of financial service industry experience with SIE completed
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
Make meaningful improvements, recommend operational efficiencies, and contribute to a culture of compliance, integrity, and continuous improvement.