Risk Management Consultant

About the role

The Risk Management Consultant will perform trade review and surveillance to help field management identify and mitigate potential risks or non‑compliance issues. The role supports MML Investor Services LLC in meeting FINRA, SEC and state regulatory requirements.

Key responsibilities

• Conduct trade surveillance and monitoring, documenting potential policy or regulatory violations.
• Collaborate with trending, field management and business partners to develop corrective action plans.
• Report surveillance trends to senior management and meet firm benchmarks for timeliness and productivity.
• Partner with Compliance, Field and Home Office on regulatory matters and escalations.
• Perform ad‑hoc projects or reviews as requested by management.

Required profile

• Series 7 and Series 24 licenses at the time of application.
• Minimum 3 years of financial services experience, including at least 2 years in broker‑dealer environment.
• High school diploma; candidates within 50 miles of Springfield, MA must work a hybrid schedule (3 days onsite).
• Strong analytical, decision‑making and problem‑resolution abilities.

Required skills

• Series 7, Series 24, Series 53 and Series 4 licenses.
• Knowledge of trade review systems such as Envestnet/MAS, BPM, Wealthscape, and FBSI.
• Proficiency with Microsoft Office applications: Outlook, Excel, PowerPoint, Word.