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Field Inspections Consultant
Field Inspections ConsultantSpringfield, Massachusetts Compliance Job ID R14425
Field Compliance Consultant
Field Compliance, Compliance and Ethics
Note: Travel is required for this role.
Compliance empowers people to do the right thing by fostering a culture of ethics and integrity throughout the company. We have visibility into almost every aspect of our business so we are uniquely situated to connect the dots and provide innovative solutions. There is no “typical day” in compliance – If you’re looking for a challenging opportunity to work on a dynamic, highly collaborative team with a noble purpose, you’ll love compliance.
The Field Compliance team is responsible for a variety of critical compliance functions. It also has a high degree of influence on business operating policies and procedures designed to ensure compliance with applicable laws and regulatory standards and may make recommendations which can significantly impact the organization.
- Partner with MassMutual Financial Advisors to proactively deliver highly valued, risk-based support promoting a culture of compliance and ethics in the Field across all business lines.
- Conduct fair and thorough inspections of agencies and draft tailored findings and meaningful risk based remediation recommendations.
- Monitor, investigate, remediate and report on highly complex matters within the Company.
- Conduct surveillance of securities business, and follow up on findings with agencies.
- Employ knowledge and insights gained through agency inspection visits to fully understand agency infrastructure and enhance the quality of ongoing, risk-based guidance.
- Provide timely and practical compliance advice to members of the MMFA, including advice on handling producer misconduct and other general supervisory issues.
- Modify procedures or processes.
- Undertake fact gathering and investigation activity to monitor the effectiveness of implementation within areas of responsibility.
- Develop and deliver training that is tailored to the needs of MMFA Field Partners.
- Drive follow-up and remediation of potential findings arising from trend reporting and data analytics activity.
- Have the ability to use business knowledge and understanding customer needs to maximize benefit as well as efficiency.
- Relationship building skills, the ability to “listen to understand” are a must to develop a holistic and comprehensive understanding of the agencies the Consultant will be assigned to.
- The candidate must exhibit a superior ability to adapt by anticipating change and quickly adjusting to meet evolving needs, priorities and opportunities.
The Minimum Qualifications
- High school diploma or equivalent, General Education Diploma
- 4+ years of experience and understanding of financial and insurance products
- Series 7 and Series 24
- Must be able to travel to Agencies in the US. Anticipated travel obligations will be up to 6-10 weeks per year.
The Ideal Qualifications
- Bachelor’s Degree, MBA, JD, and other designations such as CLU, ChFc, and CRCP preferred
- Series 24 Securities registration
- Series 53 preferred
- Excellent verbal and written communication skills
- Strong organizational skills
- Ability to collaborate and maintain strong working relationships
- Demonstrated ability to champion and adapt quickly to change
- Detail oriented with excellent analytical and problem solving skills
What to Expect as Part of MassMutual and the Team
- Regular meetings with the Field Compliance Team
- Focused one-on-one meetings with your manager
- Access to mentorship opportunities
- 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
- Partnership with Field and business partners working toward a common goal
#LI-FT1MassMutual is an Equal Employment Opportunity employer Minority/Female/Sexual Orientation/Gender Identity/Individual with Disability/Protected Veteran. We welcome all persons to apply. Note: Veterans are welcome to apply, regardless of their discharge status.
If you need an accommodation to complete the application process, please contact us and share the specifics of the assistance you need.