Risk Management Consultant
Company: MassMutual
Location: Atlanta
Posted on: March 16, 2026
|
|
|
Job Description:
The Opportunity The Risk Management Consultant is responsible
for performing delegated trade review and surveillance to support
field management to mitigate and identify potential risks and/or
noncompliance issues with MML Investors Services LLC (“MMLIS”)
policies or laws and regulations as required by FINRA, the SEC and
state insurance and securities divisions. The Team The MML Investor
Services, LLC Supervisory Controls Group (SCG) is a
well-established team of experienced Principals working together to
provide solutions for our Field representatives and management.
Team members show high levels of business acumen in the areas of
communications, accountability, and relationship management. With
the experience and inquisitive nature or the group, stretch goals
and other business challenges are assigned for individual
growth/development adding additional value. The team shares an
ability to be agile with process utilizing their expertise and
self-development capability to improve efficiency and focus on
ensuring that the operations are completed timely and with quality.
The SCG seeks to provide the best-in-class partnership with team
members, internal partners, and field associates. The Impact As a
Risk Management Consultant your responsibilities will include, but
not be limited to the following: Perform trade surveillance and
monitoring activities while appropriately documenting and
proactively identifying potential risks and/or violations of
policies or regulations specifically within the firm’s trade review
systems. Collaborate with trending department, field management,
and business partners as needed to assist with development of
corrective action plans designed to eliminate or reduce potential
risks. Regularly monitor and communicate surveillance or sales
practice trends to relevant business partners and senior
management. Work efficiently and effectively to meet or exceed Firm
benchmarks for timeliness and productivity. Partner with
Compliance, Field and Home Office business partners on regulatory
matters and surveillance escalations. Keep current with Firm
policies and the regulatory environment. Upon request from
management, perform ad hoc projects, reviews or other duties as
required or assigned. Focus on the customer, act with integrity,
value people, work collaboratively and achieve results. The Minimum
Qualifications Series 7 and 24 required at time of application 3
years' experience in the financial services industry 2 years’
broker dealer experience High School Diploma Candidates residing
within 50 miles of the MassMutual Springfield, MA office will be
required to work a hybrid schedule of 3 days a week. The Ideal
Qualifications 5 years of broker dealer or compliance experience
Series 53 & 4 System knowledge: Envestnet/MAS, BPM, Wealthscape,
and/ or FBSI Works independently while collaborating with
management, business partners and Compliance 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; team player, self-motivated; patient
demeanor; approachable style Change agent experience with a
constant focus on continuous improvement Inclusive approach to
working with the team and the ability to “listen to understand”
High aptitude for effective problem resolution What to Expect as
Part of MassMutual and the Team Regular meetings with the
Supervisory Controls Group Maintain and improve relationships with
all business partners 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 Your ethics
and integrity will be valued by a company with a strong and stable
ethical business with industry leading pay and benefits LI-DK1
LI-REMOTE MassMutual is an equal employment opportunity employer.
We welcome all persons to apply. If you need an accommodation to
complete the application process, please contact us and share the
specifics of the assistance you need. California residents: For
detailed information about your rights under the California
Consumer Privacy Act (CCPA), please visit our California Consumer
Privacy Act Disclosures page.
Keywords: MassMutual, Atlanta , Risk Management Consultant, Accounting, Auditing , Atlanta, Georgia
