Supervision and Control Professional R252

  • 70k base + Bonus
  • Springfield, MA, USA Springfield MA US
  • Permanent, Full time
  • Mass Mutual Financial Group
  • 23 Apr 18 2018-04-23

POSITION SUMMARY: Team and Position Details The Supervisory Control Procedures Team is a multi-tiered business unit that assists the Broker-Dealer in mitigating risk for the firm and its partners. This is accomplished by accurate, timely completion of the majority of the firm’s Supervisory Control Procedures.

The Ideal Candidate:

•Has compliance or supervision experience with a FINRA registered Broker-Dealer and/or SEC Registered Investment Advisor
•Is able to use knowledge and skills to monitor advisory and brokerage assets, complete regulatory reporting and assist the firm in maintaining proper compliance with company policy, FINRA, SEC, and state regulatory rules with limited supervision
•Has the ability to identify opportunities for operational efficiency and productivity improvements to mitigate financial, reputational and regulatory risk and to update processes with management approval
•Has the flexibility to work both independently and collaboratively within a diverse team environment
•Is self-motivated and has personal accountability to achieve career development by leveraging resources available
•Is motivated to understand the “why” behind a situation, has exceptional time management skills, and a strong sense of ownership

RESPONSIBILITIES:

•Review trade activity, money movement, and supporting documentation for standard brokerage and RIA platforms to ensure compliance with policies, procedures, and regulatory requirements in relation to Supervisory Controls
•Adhere to control systems to prevent or deal with violations of legal guidelines and internal policies
•Enhancement of back office processes, risk mitigation through research, and implementation/management of operational and supervisory procedures
•Responds to complex questions from internal and external customers regarding program guidelines and administrative procedures
•Coordinates and delivers training as needed
•Confront conflict and difficult issues in a professional, assertive, and proactive manner
•Attend to detail while maintaining a big picture perspective
•Other duties as assigned, including other supervisory and/or operations functions

QUALIFICATIONS:

•High School Diploma
•Basic proficiency with Microsoft Office (Excel, Word, PowerPoint)
•Knowledge of brokerage products, program policies and provisions, and state and federal laws Demonstration of management courage; able to take a position and influence management
•Critical Thinking: thoughtful process of analyzing data and problem solving data to reach a well-reasoned solution
•Ability to partner effectively to drive our culture and execute on our common goals
•Appreciation and understanding of the financial services industry in order to make sound business decisions
•Openness to new ways of thinking and acquiring new skills to retain a competitive advantage
•Candidate must have the ability to work in the US without requiring sponsorship

Opportunities:

•Option to obtain additional licenses: FINRA Series 7, Series 24, Series 4, and Series 53
•Exposure to multiple business areas within MMLIS and MassMutual
•Option to work on special projects both or ad-hoc assignments within the team and partnered with various business units
•Guidance from a leadership team with multiple decades of experience in the Securities Industry
•Individual dedicated time with team manager on a monthly basis
•Additional training as appropriate to career development and exploration