The Opportunity

As an Investment Risk Consultant, you will join a team that is focused on managing investment policies for the firm’s investment advisory programs, as well as related brokerage and insurance related products and services.  This role will be actively engaged in the construction and monitoring of investment policy guidelines and will provide consultative operational support and issue resolution for field advisors and other internal stakeholders.  

The Team

The team has varied backgrounds and experience in the industry but share a developed business acumen, an agility to switch between support and analytical work as well as a strong communication skillset, delivered both internally and externally. The role of this team is a careful balance between investment expertise, core support role of the advisors’ practices and participation in on-going internal oversight initiatives. 

The Impact

As an Investment Risk Consultant,  your responsibilities will include, but are not limited to the following: 

Oversee Investment Advisory Programs: Monitor the existing account and bring possible non-compliant accounts to the attention of supervision. 

Mitigating Risk: Execute the firm’s Supervisory Control Procedures in an accurate and timely fashion.  

Lead Project Enhancements: Implement new or changed processes and be an active and visible participant in overall risk management routines in Wealth Management.  

Key Responsibilities Include:

Maintain advisory program investment policies, guidelines, and procedures

Monitor and detect policy violations, working with advisors and teams to resolve issues

Partner with business lines, Compliance, Supervision, and Law to manage operational and regulatory risks

Implement complex initiatives benefiting Wealth Management

Draft, review, and implement policies and procedures for advisory oversight and business stakeholders

Communicate effectively with registered representatives, agency personnel, and internal business partners

Prepare and deliver analyses, reports, and presentations to management

Stay current on regulatory and industry matters relevant to MassMutual Wealth Management

The Minimum Qualifications

5+ years of financial services, banking, insurance, or regulatory experience 

FINRA Series 7 & 24 at time of application or must obtain within 180 days 

2+ years' experience with investment programs, business governance, or financial risk management and analysis 

2+ years' experience implementing regulatory requirements, process enhancements or effecting change 

Bachelor’s degree  

The Ideal Qualifications

8+ years of financial services, banking, insurance, or regulatory experience 

FINRA Series 7 & 24 at time of application

Strong knowledge of investment advisory products, security types and how they work, asset allocation and portfolio construction 

Ability to work independently, multi-task and manage daily responsibilities with project work 

Strong verbal and written communication skills; ability to build relationships vertically in the organization 

Exceptionally strong business acumen

Exceptional written communication skills

MBA or PMO/PMP 

Chartered Financial Analyst (CFA) or working toward attainment 

What to Expect as Part of MassMutual and the Team

Regular meetings with the Investment Policy Support team 

Focused one-on-one meetings with your manager 

Access to mentorship opportunities 

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 nosiness with industry leading pay and benefits 

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MassMutual is an Equal Employment Opportunity employer Minority/Female/Sexual Orientation/Gender Identity/Individual with Disability/Protected Veteran. We welcome all persons to apply. Note: Veterans are welcome to apply, regardless of their discharge status.

If you need an accommodation to complete the application process, please contact us and share the specifics of the assistance you need. EEO Statement (Opens in new window)

MassMutual will accept applications on an ongoing basis until such time as a candidate has been offered employment.

Salary Range: $84,100.00-$110,300.00