Sales Practice Risk Consultant

About the role

MassMutual is hiring a Sales Practice Risk Consultant for its Supervisory Control Group, working remotely (full-time). The consultant helps identify emerging sales practice risks, uncovers trends through data analysis and influences risk mitigation strategies across the advisory and securities business. The role partners with Compliance, Legal, Supervision and Field leaders to strengthen supervisory practices and support regulatory compliance.

Key responsibilities

• Evaluate FINRA and SEC guidance, disciplinary actions and internal partner information to identify potential sales practice risks, especially around Regulation Best Interest (Reg BI)
• Gather and analyze company-level data to set metrics for Key Risk Indicators (KRIs)
• Review advisors who meet or exceed KRI thresholds and prepare professional reports with Items of Note for each advisor
• Meet with Regional Supervisory Directors and Agency Supervision staff to discuss reports and follow-up
• Track agency supervisory documentation and notify supervisors when it is missing or insufficient
• Partner with Compliance, the Field, MMLIS, Legal and other Home Office partners on regulatory matters and surveillance escalations
• Stay up to date on firm policies and the regulatory environment, and complete ad hoc projects and reviews

Required profile

• Candidates living within 50 miles of the MassMutual Springfield office must work a hybrid schedule of 3 days a week in the office
• FINRA Series 7 and 24 required at time of application; Series 53 and Series 4 registrations are ideal
• 4+ years in compliance or supervisory roles supporting a broker dealer or investment advisor, including brokerage products, program policies, FINRA rules and state and federal securities law
• Associate degree
• Ideal: demonstrated ability to spot patterns and sales practice risks, experience reconciling and analyzing data across products, and knowledge of Advisor360 Suite tools

Required skills

• 3+ years of experience with Microsoft Excel
• Strong Microsoft Office skills, including Outlook, PowerPoint and Word
• Knowledge of trade review systems and strong computer and analytical skills

What we offer

• Salary range of $76,200-$100,000
• Clear ownership and accountability, with work linked to company and customer outcomes
• Learning, development and internal networks, plus employee-led communities