Information Technology Jobs in Ankeny

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

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#LI-REMOTE

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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

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