Testing & Risk Compliance Consultant

Affiliated Distribution Testing & Risk Team

Full-Time

Springfield, MA

The Opportunity

As a Testing & Risk Compliance Consultant at MassMutual, you will work with limited oversight to perform moderate to complex compliance analysis, monitoring, and reporting activities within the organization. This is an exciting opportunity for you to join a highly collaborative environment, facing dynamic challenges and contributing directly to the ethical foundation of our business. You will take ownership of business reviews, complex transactional investigations, and assess compliance risks associated with the Wealth Management business. In this role, you will be empowered to test existing procedures and processes, gather facts, and investigate to verify the effectiveness of Broker-Dealer and Investment Adviser Policies and Procedures. You’ll provide ongoing consultation to internal stakeholders.

The Team

You will be joining the Testing & Risk team within Affiliated Distribution Compliance. The team is composed of talented professionals with deep expertise in risk assessment, internal and external controls, regulated risk analysis, and compliance testing. Team members bring a passion for ethics and demonstrate MassMutual’s core competencies, including strong communication, collaboration, and innovative problem solving. The team is motivated by its noble purpose: empowering people to do the right thing and fostering a culture of ethics and integrity across the organization. Our culture is dynamic and inclusive, and you’ll be surrounded by colleagues who support one another and work together to develop impactful solutions. We regularly interact and partner with other compliance teams, business stakeholders, and external parties to ensure robust risk management and compliance practices. The Testing & Risk team’s story is one of growth, adaptability, and ongoing commitment to operational excellence, making it a unique environment to develop your career.

The Impact

• You will contribute to comprehensive Broker-Dealer, Investment-Adviser, and Affiliated Distribution Risk Assessments, ensuring the organization’s compliance with regulatory requirements and industry standards.
• You will develop, implement, and execute efficient testing and verification of written supervisory procedures, identifying areas for improvement and driving the adoption of best practices.
• You will carry out in-depth regulated risk analysis, enabling the identification, assessment, and mitigation of compliance risks within the organization.
• You will develop, deliver, and present impactful presentations to leadership, providing clear insights and recommendations on compliance issues and risk management strategies.
• You will foster strong internal and external networks, collaborating with business partners, stakeholders, and regulatory bodies to ensure effective compliance solutions.
• You will be responsible for fact gathering and investigation activities, monitoring the effectiveness of compliance implementation within your area of responsibility, and modifying procedures or processes as needed.
• You will provide ongoing consultation to internal and/or external parties, developing, testing, and verifying regulations, policies, and procedures to maintain the highest standards of ethics and integrity.
  
  

The Minimum Qualifications

• Bachelor’s Degree or equivalent related experience
• 3 years of securities industry or compliance experience
  
  

The Ideal Qualifications

• Series 7, 24 or a willingness to obtain them
• Advanced skills with Microsoft Office or similar software
• Experience with Microsoft Co-Pilot or other Artificial Intelligence technologies
• Exceptional analytical and problem-solving abilities
• Ability to work independently and collaboratively within a team environment
• Demonstrated experience in fact gathering, investigations, and risk analysis
• Experience developing, testing, and analyzing compliance policies and procedures
• Comfort with ambiguity and adaptability in a dynamic environment
• Ability to deliver impactful presentations and communicate complex information effectively to leadership and business partners
• Commitment to fostering an inclusive community and contributing to team growth and development
• Strong written and verbal communication skills
  
  

What to Expect as Part of MassMutual and the Team

• Regular meetings with the Testing & Risk Compliance Team
• Focused one-on-one meetings with your manager
• Networking opportunities including access to Asian, Hispanic/Latinx, African American, women, LGBTQIA , 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
  
  

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.