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The firm is looking for a FINRA registered Securities principal (Series 24) to serve as an Agency Supervisory Officer and be responsible for completing a wide variety of broker-dealer compliance and supervisory tasks with respect to the agency’s securities and advisory business through MML Investors Services, LLC as well as its insurance business with Massachusetts Mutual Life Insurance Company. This is a W2 exempt position reporting directly to the Head of Compliance.
Responsibilities
The ASO is responsible for having a comprehensive understanding of the supervisory and compliance obligations associated with the broker-dealer, registered investment advisory as well as insurance business to enforce the firm’s compliance policies and procedures.
The ASO is responsible for completing assigned tasks in a timely, professional, and accurate manner and providing updates to the Head of Compliance regarding the agency’s operations and as directed, prepare written reports.
Activities performed by the Agency Supervisory Officer include, but are not limited to, the following:
Required
Full Time
Insurance
$83k-113k (estimate)
02/08/2024
06/01/2024
massmutual.com
HOUSTON, TX
15,000 - 50,000
1886
RICHARD C KURIGER III
$10B - $50B
Insurance