Jobs in West Simsbury, CT

Investments Accounting Associate II - Securities

Investment Controllership

Full-Time

Boston, MA or Springfield, MA

About the Corporate Controller Organization:

The Controllers Organization is responsible for delivering on the foundation of credibility and control of the core financial information leveraged across Finance to communicate with leadership, key business partners and regulators on the enterprise’s actual results, forecast implications and strategic decision making.  This work considers legal entity structures, distribution channel, and product results as well as how these impact our capital optimization and operating liquidity.

We are a diverse group of professionals experienced in and responsible for accounting, financial reporting, tax, policy and controls, cash operations, corporate finance data and systems management as well as wealth management finance activities.  We are seeking engaging professionals with strong communication skills and deep intellectual curiosity to ensure the timely and efficient reporting of results. We not only perform the required activities. We are looked to as business partners who add value by challenging existing operating practices strengthening controls and highlighting trends and insights.

The Opportunity

This Investments Accounting Associate role is a newly created position that will be a key addition to our Investment Controllership team within the Controllers organization.  The position reports to the Director of Securities Accounting and Controllership and resides within the Financial Controllership team, a critical team within the Controllers Organization which aspires to be best in class financial stewards for MassMutual. We are forward-thinking and seek others who will leverage their curiosity and take initiative. Join us as a partner who will work collaboratively and with determination to leave the company in a better place than you found it. As an Accounting Associate in our Investments Accounting area, you will be a key contributor on the team that manages and executes investment accounting and analysis, including oversight of financial reporting outcomes of all MassMutual investment products. This is an opportunity for an individual who thrives in a highly dynamic and agile accounting environment to collaborate across teams focused on solid execution and improving outcomes.  We are seeking an accounting professional who wants to join a highly motivated team of professionals focused on proactively driving the development and execution of process improvements, meaningful analysis and improved coordination with the business partners for Investment activities.

The Team

As a member of the Financial Controllership Team, the incumbent will be involved in shaping the future of the organization, supporting both the on-going growth and analysis within the Investment Controllership team and other key initiatives.

The Impact:

• Thrives in a complex corporate structure and adapts to changing circumstances.

• Plays a key role in a collaborative and inclusive culture by working closely with Investment Management.

• Actively participate in the implementation of the Company’s new ledger and other key projects.

• Collaborate with various areas of the business executing appropriate remediation.

• Performs or reviews reconciliations of investment data for ledger tie outs. Reviews periodic journal entries.

• Participates in creating or reviewing and analyzing monthly financial analysis reports.

• Collaborate with internal teams to resolve items and address investment-related issues.

• Responsible for ongoing activities as part of the monthly, quarterly, and annual close cycles.

• Analyze financial reports and investment data for trends and impacts to investment values and P&L activity.

• Support annual regulatory financial statement audit requests.

• Participating in problem solving to improve quality, cycle times, and increase efficiencies.

• Makes recommendations to continuously improve the overall control environment of the Securities team.

• Participate in the research and implementation of new statutory and GAAP investment accounting.

The Minimum Qualifications

• Bachelor’s degree in Accounting, Finance or related major

• At least 4 years of accounting or finance experience in a corporate environment

• Knowledge of GAAP and STAT accounting

The Ideal Qualifications

• CPA or CFA progress towards preferred

• Knowledge and experience of investments

• Prior exposure to investments, investment accounting, subsidiary ledger processing and related investment matters a plus!

• Strong analytical skills: ability to analyze financial data sets and tell the story of the data.

• Experience in identifying internal control issues and remediation efforts

• Able to build and maintain strong working relationships across cross-functional groups

• Excellent verbal and written communication skills with the ability to express ideas and articulate in an organized and persuasive manner

• Ability to partner with business leaders and peers in investment process redesign and improvements

• Intellectual curiosity to continue learning and adding breadth and depth to understanding

What to Expect as Part of MassMutual and the Team

• Regular meetings with the Financial Controllership 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 

#LI-CR37

The Opportunity 

We’re looking for a motivated and ambitious Client Portfolio Consultant to join our growing wealth management organization!  Your work will be fast-paced and innovative and will require marshaling resources across the organization. You’ll interface frequently with our broader Wealth Management organization and help us implement best practices of portfolio management. 

The Team 

Our team is a dynamic, energetic, and problem-solving powerhouse that continues to grow, evolve, learn, adapt and solve problems. We come from a diverse set of backgrounds and thought processes, and welcome debate, innovation, better ways of thinking and help evolving our team towards accomplishing our mission. We are incentivized to solve investment problems, and connect to the purpose to using investment tools to thoughtfully and helpfully accomplish the goals and objectives of our clients. 

The Impact 

This role focuses on helping create efficiencies and scale across an organization with significant growth potential, while delivering a high‑quality experience for advisors and their clients. The individual partners closely with advisors and their staff to support a seamless client onboarding process and maintain strong, ongoing relationships.

Key responsibilities include, but are not limited to:

• Helping create efficiencies and scale for an organization with meaningful growth potential  

• Interacting with advisors and their staff to deliver great client experience during onboarding and ongoing relationship 

• Monitoring client’s investment portfolios to ensure aligned with investor’s objectives as well as market conditions and outlook  

• Staying up to date with MMLIS product offerings as well as relevant investment and trading news, and economic trends.  

• Collaborating with the broader investment organization designed around solving real client problems  

• Contribute to the growth of the MassMutual Investment Management business.  Proactively research and address client investment management needs, and interact with the broader investment organization to develop solutions  

The Minimum Qualifications  

• Bachelor’s degree 

• 2+ years of operational or customer service experience in the financial services industry, including direct interaction with advisors and clients.

• Series 7 & 66 at time of application or must obtain within 180 days of hire

The Ideal Qualifications 

• Wealth management or client portfolio management experience  

• CFA or other industry designations  

• Exceptional analytical, problem solving, and communication skills 

What to Expect as Part of MassMutual and the Team 

• Regular meetings with the Wealth Management 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

#LI-SB1

Strategic Treasury Partner

Full-Time

Boston, MA, Springfield, MA, or New York, NY

The Opportunity

As a Strategic Treasury Partner, you will work in a fast paced, innovative and collaborative environment, to expand our credit/financing and liquidity opportunities, as well as actively collaborate with the Treasury team responsible for the management of MassMutual’s capital, liquidity, and financial flexibility.  This role will also involve building out our existing reporting and forecasting capabilities to enhance the company’s leverage and liquidity management.

The Strategic Treasury Partner will have the opportunity to:

• Contribute to analysis that will elevate strategic Liquidity and Debt Management decision making
• Improve modeling tools and reporting capabilities for liquidity forecasts and intercompany and external debt
• Lead efforts to optimize efficiency of processes and advance analytical analysis

The Team

This role will report directly to the Head of Debt Financing and Liquidity and will be a member of the Balance Sheet Management team within the Treasury organization.  The team is a dynamic team of individuals with diverse backgrounds that are focused on evaluating actual and projected trends in levels of capital, liquidity, and credit so that they may develop strategies to improve financial performance and conditions.

The Impact

Your work will provide insights to enable strategic decisions made to optimize liquidity and ensure financial stability, operational efficiency, strategic flexibility and risk mitigation.

You will accomplish that through the responsibilities listed below:

Liquidity Forecasting and Management:

• Review investment commitments, in collaboration with Investment Management team
• Perform sensitivity analytics to Operating Liquidity forecasts
• Conduct forecast variance analysis to enhance accuracy
• Prepare liquidity reports and assist with development of presentations for executive audience

Debt and Subsidiary Management:

• Lead execution of subsidiary funding transactions
• Execute transactions for internal and external debt; maintain calculation of interest expense
• Partner with team to manage the trade finance portfolio
• Support debt portfolio optimization project

Optimization Projects:

• Minimize time spent on production and data manipulation activities by transforming our modeling, analytic, and reporting capabilities and implementing automation and technology where possible
• Lead additional analytic projects including subsidiary liquidity management
• Monitor changes in treasury regulations, industry trends, and best practices to ensure compliance and provide informed recommendations

The Minimum Qualifications

• 5+ years of experience in a financial role with exposure to accounting, cash operations, liquidity management and/or debt financing
• Bachelor's Degree

The Ideal Qualifications

• Advanced exposure to financial modeling, including accounting and treasury capital transactions
• Ability to proactively take ownership of projects and drive through to completion 
• Working knowledge in SAP and financial technologies
• Critical thinking and problem solving
• Experience collaborating across multiple teams
• Detail-oriented with excellent oral and written communication skills
• Organized, planful and continuous improvement mindset
• Intellectual curiosity to continue learning and add breadth and depth to understanding
• Ability to seek guidance and learn new skills from peers

What to Expect as Part of MassMutual and the Team

• Regular meetings with the Debt Management & Liquidity and broader Treasury teams
• 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-MM1

Head of GIA Investment Performance Measurement and Analytics

Investment Management

Full-Time

New York, NY, Boston, MA or Springfield, MA

The Opportunity

MassMutual Investment Management (IM) seeks a seasoned investment management and operations professional to lead the investment performance function for MassMutual’s General Investment Account (GIA). This role reports to the Head of Manager Oversight and will:

• Design, and oversee implementation of models, policies, and procedures for a best-in-class performance and attribution reporting function.
• Help drive strategy and execution of investment performance measurement, attribution, and reporting programs supporting MassMutual’s Board, CIO, and other key stakeholders.
• Help shape market commentary and attribution narratives for internal and external stakeholders, including affiliate managers and GPs.
• Complete the feedback loop for MassMutual Investment Management in the performance space by collaborating with teams supporting product profitability analysis and PMs managing ALM and capital allocation decisions.

The Team

The Manager Oversight team is part of IM’s Strategy and Governance organization, reporting to MassMutual’s CIO. The team oversees IM’s asset manager relationships and functions, including manager operational due diligence, investment mandate onboarding & lifecycle management, and investment performance. Adjacent teams handle business strategy and planning, vendor oversight, investment compliance, and investment reporting for MassMutual’s Board & Investment Committee.

The Impact and Key Responsibilities:

Lead MassMutual’s investment performance measurement, attribution, and reporting function for a $250B+ General Investment Account (GIA). In this role you will be on the starting line to help influence, design and implement a state-of-the-art performance measurement and attribution capability. This senior leadership role requires strategic planning, influence, executive visibility, and the opportunity to transform performance analytics and attribution capabilities for a prestigious insurance company.

• Evolve existing practices and refresh methodologies, assumptions, and models to introduce new and industry best practice approaches for presenting performance across products, asset classes, and instruments.
• Lead strategic platform rationalization and evaluate performance engines to enhance analytics.
• Provide technical expertise in portfolio management, finance, capital markets, and investment performance reporting, guiding decisions to align with market standards.
• Contribute to portfolio reporting and attribution by applying experience across asset classes and investment strategies, ensuring liability-driven investment strategies and ALM models are accurately derived and validated.
• Collaborate directly with portfolio managers and lead teams to achieve strategic alignment across functions, simplifying complex income and return objectives under liability constraints while maintaining precision and accuracy in reporting.
• Manage the evolution of the program to maximize total-portfolio view and coverage for GIA reporting, expanding capabilities important to investment team members.
• Help develop a long-term roadmap to unlock value and greater ROI for the Performance program, including performance monitoring as a compensating control for financial reporting.
• Help drive the development of reporting standards for leadership and Board materials, framing investment successes, market impacts, and risk-adjusted performance drivers.
• Help with the design of data integration between IBOR/ABOR systems and performance engines to optimize data validation, reporting efficiency, and portfolio transparency.
• Lead strategic initiatives to align performance reporting with insurance industry practices, NAIC classifications, and risk-based capital requirements, ensuring compliance and strategic flexibility.
• Serve as a trusted advisor to the CIO and Senior Leadership Team, influencing investment strategy communication and Board-level reporting.

The Minimum Qualifications

• Bachelor’s degree in STEM, Finance-Accounting, Actuarial Science, or related field.
• 10+ years in investment management with progressive experience focusing on performance measurement, attribution, and reporting.
• 5+ years in leading teams and/or investment strategy and decision-making for an asset owner, allocator or investment advisor, in a role focused on: investment performance, attribution and analysis; portfolio management; product management or research; portfolio strategy or securities research [investment selection].
• Experience with liability-driven investment strategies, including ALM frameworks, duration matching, and immunization techniques.
• Experience designing, building, and calibrating investment return, valuation, or risk models for capital allocation in multi-asset portfolios.
• Advanced Excel and quantitative modeling; familiarity with GIPS® standards and compliance; strong understanding of risk-adjusted return metrics (TWR, IRR, Brinson attribution, factor attribution).
• Ability to integrate cash flow projections and liability schedules into performance analytics; can source index and reported market yields or returns as benchmarks, model, select “best-fit,” and defend rationale in Q&A with investment professionals.
• Deep knowledge of fixed income, structured credit, private credit, and alternative investments; understanding of insurance asset management and regulatory frameworks; working knowledge of NAIC and statutory accounting preferred.
• Expertise in designing attribution models that incorporate liability benchmarks; ability to optimize portfolios for duration and convexity matching; strong leadership and stakeholder engagement across investment, actuarial, and risk teams.
• Proven ability to establish and maintain strong relationships with peers and key partners throughout the organization and in their external, professional networks.

Familiar with full spectrum of geographic and credit risk demographics: IG, HY, and Distressed; NA, EMEA, APAC; Developed or Emerging Markets.

Technical Skills Covering:

• Multi-Asset (total portfolio) Total-Return Presentation and Public Market Benchmark Selection
• Relative-Spread, Relative-Yield, and Relative-Market/Index Return Comps (Alts-Benchmarks)
• Bond-Factor Analytics (and to a lesser extent, Equity-Factors)
• Duration-Adjusted Return Modeling
• Portfolio Hedge Attribution: Global Asset-Country and FX Risk; Key-Rate Risk: Default Risk

The Ideal Qualifications

• Master’s degree in STEM, Finance, Quantitative Analytics, or MBA; CPA or actuarial credentials for ALM depth a plus.
• CFA, CIPM or equivalent designation strongly preferred; CAIA or FRM a plus.
• Deep familiarity with Global Investment Performance Standards (GIPS®); experience managing GIPS verification and composite construction for liability-driven portfolios.
• Proven ability to implement automation for performance and ALM reporting; experience with data governance and integration of liability projections into performance dashboards.
• Experience configuring, and testing platforms integrated across the investment ecosystem, such as Performance Engines (SS&C Advent Geneva/APX, Eagle Performance, Clearwater Analytics), Portfolio Management and IBOR Platforms (BlackRock Aladdin, SimCorp Dimension, Charles River IMS), ALM & LDI Tools (Bloomberg PORT, proprietary actuarial systems, Beacon), and Instrument Cashflow and CP-Credit Risk Modeling Services (Intex, Moody’s, S&P).
• Experience implementing BlackRock PBOR

Experience with majority of investments or instruments in: Gov & Corporate Debt, Bank Loans, PE Sponsor and Non-Sponsored Mid-Market Loans and Private Credit, Commercial & Residential Real Estate Debt, Consumer/Retail and Real Estate ABS, Structured ABF, Structured Credit, CLOs/CDOs, Municipal Bonds, Private LP’s, Direct-PE.

Technical Skills Covering:

• Private Equity & Equity-Pacing Models
• Cash-Weighted Returns (IRR and realized-CF holding-period yield)
• Capital-Multipliers (for closed & evergreen portfolios/private-alts strategies)

#LI-LC1

Withholding and Unemployment Tax Associate II

Corporate Tax Department

Full-time

Springfield, MA

The Opportunity

As a Withholding and Unemployment Tax Associate, you will work in a fast-paced, exciting, and collaborative environment. In this role, you will ensure accurate and timely filing of payroll and non-payroll tax payments and returns, maintaining compliance with federal, state, and local tax regulations. You will support the organization as a tax subject matter expert on special projects.

The Team

This Corporate Tax Department is comprised of high-performing, collaborative, and agile tax professionals who are motivated by challenging work that delivers sustained value and a culture of accountability. Team members are focused on continuous improvement and transforming the department through innovative solutions that align with the finance organization’s strategic goals and initiatives.

The Impact:

Your day to day would include but is not limited to:

• Process daily Federal, State and Local tax withholding payments to all tax authorities in accordance with the tax deposit frequencies for all companies.
• File quarterly State Unemployment Tax returns for all companies.
• File quarterly Federal, State, and Local reconciliation returns for all companies.
• Reconcile total withholding tax payments by tax jurisdiction to the total withholding reported on Forms 1099. Provide reconciliation discrepancies to individual business areas for research and resolution. 
• File annual Federal, State, Foreign, and Local tax returns for all companies.
• Review, analyze, and respond to tax notices.
• Manage the State Unemployment annual rate update process in Workday and LTTAX.
• Register and set up new State and Local tax authorities in LTTAX and SAP.
• Reconcile all Federal and State tax general ledger accounts.
• Tax subject matter expert for special projects.
• Partner with Payroll on W-2C corrections and filing amended tax returns as applicable.
• Partner with business areas on 1099 (non-payroll) corrections and filing amended tax returns as applicable.
• Partner with legal on complex tax interpretations.
• Monitor and implement regulatory updates to maintain compliance.
• Provide tax data as requested by departments within the company.

Minimum Qualifications

• 4+ years' experience in filing State, and Local tax withholding returns
• 4+ years' experience in processing State Unemployment tax returns
• 4+ years' experience with federal, state, or local payroll tax regulations and reporting requirements

Additional Qualifications

• Experience in filing Federal tax withholding returns and Federal unemployment tax returns
• Experience working with SAP and Workday
• Experience working with LTtax or other payroll withholding and unemployment tax software
• Experience with other types of state tax returns (income, premium, property, sales and use, municipal, etc.) or other general state tax or regulatory filings considered a bonus
• Effective communication and presentation skills
• Ability to work independently
• Proficient in Microsoft Office (Outlook, Word, Excel, PowerPoint)
• Critical thinker
• Strong analytical skills
• Adaptable to shifting priorities based on deadlines
• Ability to manage and execute on competing priorities
• Excellent time management skills

What to Expect as Part of MassMutual and the Team

• Regular meetings with the Tax Team
• 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-CR37

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The Opportunity

We’re looking for a detail oriented, self-motivated individual to join our growing team as a Research & Resolution Consultant. As a Research & Resolution Consultant you’ll be responsible for managing a workload of different cases that will require research and problem solving to determine if the client was harmed by the error and what course of action can be taken to make the client whole. We support many organizations across the firm as well as other areas in MassMutual that will require effective communication as some cases will involve upper level management both at the Home Office as well as in the field. This is a fast-paced environment as we deal with time sensitive issues that require immediate attention.

The Team

We are a team with a unique opportunity given we see any and all operation errors that has a direct impact on the end client. On multiple occasions we have identified a process gap through trending of cases and worked with the team who owns the process, to update the workflow to fill the gap. We have people from many backgrounds and encourage out of the box thinking to come to a solution to each case. As a team, we pride ourselves in creating the best service experience possible in order to repair the relationship between client, rep, and MMLIS by getting to the root cause of the error that took place to fix anything that went wrong and make sure the account is in good standing for the future.

The Impact

As a Research & Resolution Consultant, your responsibilities will include, but not be limited to the following:

• Performing research and analysis to support business operations and present finding to managers
• Develop solutions through root-cause analysis of complex issues and escalations related to Broker/Dealer business
• Identify opportunity to enhance and update workflows, procedures, and policies and determine best practices with some direction
• Make level appropriate decisions while weighing business risk and customer service, and document justification of exception processing
• Utilize problem solving toolkit to identify trending and demonstrate the ability to provide countermeasures to enhance the client experience and integrate the ease of doing business philosophy into operations
• Analyze trading activity of registered representatives through research and execution of trades to correct errors made by registered representatives and internal business partners
• Work with legal and compliance, peers, management to carryout processing of legal orders and regulatory requests, and Customer Relations requests on customer complaints

The Minimum Qualifications

• HS Diploma or equivalent
• 3+ year MMLIS experience and / or 5+ years' financial services experience
• Series 7 & 24 required at time of application
• 1+ year experience with Microsoft Office Suite
• Candidates residing within 50 miles of MassMutual office will be expected to work a Hybrid schedule of 3 days a week in the office

The Ideal Qualifications

• Bachelor’s Degree
• 7+ years of financial services industry experience
• Highly collaborative team player with extraordinary attention to detail

What to Expect as Part of MassMutual and the Team

• Regular meetings with the Research & Resolution Team
• 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

Director, Cash Clearing Center of Excellence (CoE)

Insurance General Account Portfolios

Full-Time

Boston, MA or Springfield, MA

The Opportunity

We have an exciting transformational opportunity for a Director, Cash Clearing Center of Excellence (CoE), managing the end to end cash processing within the Insurance General Account Portfolios.

The position will report to the Investment Management Operations within Investment services. In this role, you will work with key stakeholders including affiliated and third-party asset managers, third-party administrative service providers, controllership organization, and the investment management leadership team. You will be expected to become the subject matter expert in cash services with full ownership and a thorough understanding of the end-to-end model. You must also have the ability to understand accounting requirements, at a high level, related to trade classifications and treatment of assets within Accounting Book of Record  and downstream reporting. You must also be able to analyze and present cash clearing account reconciliation metrics.

The team functions alongside other Centers of Excellence in Public, Privates, Mortgage Loans and Bank Loan Securities and has opportunities to contribute to the development of the Operations organization. This role offers an opportunity to be part of the team enabling administering over $250B of General Account (GA) portfolio operations end-to-end; through partnering with investment management, middle-office data management, and technology teams; actively monitoring exposures; managing risk; and managing a team of specialists. This leadership role will set direction for the team, contribute to the development of the vision, influence refinement of operating model and processes, and be a subject matter expert for operational matters. The Director plays a key role in the execution of projects to scale, automating and streamlining processes within the CoE. An additional critical responsibility is to manage resource planning and capacity analysis to utilize onshore and offshore teams to effectively deliver objectives for the CoE.

The Team

The team you will be managing is located across Boston, Springfield (MA).The team also includes a substantial offshore component.

Investment Operations extends from relentlessly focusing on stakeholder satisfaction, to accelerating the adoption of automated, digital transaction processing and self-service tools. To this end, the team leverages technology and data to both reshape investment operational support and deliver differentiated stakeholder experiences.

The Impact

• Lead direct teams to monitor cash positions within MassMutual’s investment and accounting book of record
• Enable the teams to provide seamless operational execution on third party and affiliated managers’ transactions, including cash reconciliations
• Participate in discussions with critical stakeholders and enablers, including Technology (ETX) to define operating model, enable improvement projects and initiatives, digitizing and automation efforts to improve operational performance
• Establish and manage the CoE with key operating metrics and utilize an outcome-based performance and efficiency improvement
• Monitor work queues and ensure critical deliverables are met on time and with quality
• Lead/Manage multiple business teams across multiple locations
• Be the escalation / point of contact for the team and for the broader investment management and operations teams
• Manage external investment managers and related servicers and measure performance using service level agreements

The Minimum Qualifications

• Bachelor’s degree
• 8+ years experience in custody, investment operations, finance or accounting

The Ideal Qualifications

• The ability to lead and manage projects from initiation to completion, ensuring timely and effective execution, and implementing quality management to drive change initiative effectiveness
• Demonstrated experience developing, leading and managing a diverse team, fostering a collaborative approach and strong partnership with a focus on attracting, developing and retaining talent
• Proficiency in financial software and project management tools
• Excellent problem-solving skills, excellent attention to detail, and a numerate, analytical approach are crucial
• Strong written and verbal communication skills
• Able to work effectively and collaboratively within a small, dedicated team but also on a large local platform
• Ability to meet multiple deadlines by leveraging cross-functional teams with little direct supervision
• Committed to delivering the highest quality work product. Self-motivated, hard-working and operates with a sense of urgency and a strong attention to detail
• Demonstrated ability to drive process improvement and efficiencies through innovation and collaboration with colleagues and service providers.
• Experience with cash clearing account reconciliation

What to Expect as Part of MassMutual and the Team

• Regular meetings with the Investment Team
• 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 information 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-MM1

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