Risk Management Consultant

MassMutual • Springfield, MA

1d • Remote

About The Position

The Risk Management Consultant works within MML Investor Services, LLC’s Supervisory Controls Group, performing delegated trade reviews and surveillance to help field management identify and mitigate potential risks and noncompliance with firm policies and applicable laws and regulations. The role supports trade monitoring, documentation, trend communication, regulatory escalations, and corrective action planning in partnership with field management, Compliance, and other business partners. The position is remote, with a hybrid schedule of three days per week required for candidates who reside within 50 miles of the MassMutual Springfield, Massachusetts office.

Requirements

• FINRA Series 7 and Series 24 licenses required at the time of application.
• At least 3 years of experience in the financial services industry.
• At least 2 years of broker-dealer experience.
• High school diploma.
• 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, a team-player approach, self-motivation, patience, and an approachable style.
• An inclusive approach to working with the team and the ability to listen to understand.
• High aptitude for effective problem resolution.

Nice To Haves

• At least 5 years of broker-dealer or compliance experience.
• FINRA Series 53 and Series 4 licenses.
• Knowledge of Envestnet/MAS, BPM, Wealthscape, and/or FBSI systems.
• Ability to work independently while collaborating with management, business partners, and Compliance.
• Change-agent experience with a focus on continuous improvement.

Responsibilities

• Perform trade surveillance and monitoring, documenting reviews and proactively identifying potential risks or violations of policies and regulations within the firm’s trade review systems.
• Collaborate with the trending department, field management, and business partners to help develop corrective action plans that eliminate or reduce potential risks.
• Monitor and communicate surveillance or sales-practice trends to relevant business partners and senior management.
• Meet or exceed firm benchmarks for timeliness and productivity.
• Partner with Compliance, Field, and Home Office business partners on regulatory matters and surveillance escalations.
• Stay current on firm policies and the regulatory environment.
• Perform ad hoc projects, reviews, or other assigned duties at management’s request.
• Focus on the customer, act with integrity, value people, work collaboratively, and achieve results.

Benefits

• Incentive and bonus opportunities; total compensation includes either a bonus target or, for sales-focused roles, a Variable Incentive Compensation component.
• The company refers applicants to its Total Rewards at a Glance for details about its extensive benefits offerings.
• Access to learning, development, and internal networks that support growth and skill-building.
• Employee-led communities and forums that foster connection, learning, and inclusion.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: High school or GED