Sales Practice Risk Consultant

MassMutual • Boston, MA

6d • Remote

About The Position

The Sales Practice Risk Consultant will identify emerging sales practice risks, analyze data to uncover meaningful trends, and influence risk mitigation strategies across MassMutual's advisory and securities business. The role partners with Compliance, Legal, Supervision, and Field leaders to provide actionable insights that strengthen supervisory practices, support regulatory compliance, and protect advisors and clients.

The consultant is part of the MassMutual Financial Advisors Supervisory Controls Group, an established team of experienced Principals. Within the group, the In-Depth Risk Analysis team conducts targeted reviews of advisor activity across brokerage, advisory, annuity, and securities-related insurance business. The team translates complex data into observations, documents areas of concern, and identifies whether additional review, advisor education, file testing, or follow-up may be appropriate.

Candidates residing within 50 miles of the MassMutual Springfield office are expected to work a hybrid schedule of three days per week in the office. The listed salary range is $76,200–$100,000. The company also describes incentive and bonus opportunities as part of its compensation offerings.

Requirements

• FINRA Series 7 and Series 24 registrations at the time of application.
• At least 4 years of experience in Compliance or supervisory roles supporting a broker-dealer or investment adviser, including brokerage products, program policies and provisions, FINRA rules and guidance, and state and federal securities law.
• At least 3 years of experience with Microsoft Excel.
• Associate degree.

Nice To Haves

• Ability to identify patterns, trends, and sales practice risks.
• Experience reconciling, processing, and analyzing data across multiple products and business lines.
• Strong written communication and presentation skills, including the ability to explain complex information clearly and concisely.
• Ability to contribute effectively on a cross-functional team and work independently while collaborating with management, Risk organization team members, business partners, and Field Supervision partners.
• Knowledge of trade review systems, strong computer and analytical skills, and sound judgment and decision-making capabilities.
• Project management and problem-solving skills, including the ability to identify process efficiencies and improvement opportunities.
• Customer-focused mindset, integrity, respect for people, collaboration, and results orientation.
• Strong Microsoft Office skills, including Outlook, PowerPoint, and Word.
• Excellent interpersonal skills; a collaborative, self-motivated approach; patience; and an approachable style.
• FINRA Series 53 and Series 4 registrations.
• Knowledge of Advisor360 Suite, including the Document Retention Tool, Wealthscape, Envestnet, and/or FBSI.

Responsibilities

• Evaluate FINRA and SEC annual guidance, disciplinary actions, information from internal business partners, and direct observations to identify potential sales practice risks, particularly those involving Regulation Best Interest (Reg BI).
• Gather and analyze company-level data to establish metrics for Key Risk Indicators (KRIs).
• Conduct in-depth reviews of advisors who meet or exceed established KRI thresholds.
• Prepare clear, professional reports describing reviewed risks and resulting Items of Note for each advisor.
• Meet with Regional Supervisory Directors (RSDs) and Agency Supervision staff to discuss reports and observations and consult on appropriate follow-up.
• Track documentation of agency supervisory activity and notify RSDs when documentation is missing or does not sufficiently address identified risk areas.
• Partner with Compliance, the Field, MMLIS, Legal, and other Home Office business partners on regulatory matters and surveillance escalations.
• Stay current on Firm policies and the evolving regulatory environment.
• Complete ad hoc projects, reviews, and other duties as requested.

Benefits

• Incentive and bonus opportunities.
• Access to learning, development, and internal networks that support continuous growth and skill-building.
• Employee-led communities and forums that foster connection, learning, and inclusion.
• Industry-leading pay and benefits.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: Associate degree