Job description

MassMutual Oregon is looking for an Agency Supervisory Officer (ASO). The ASO is responsible for completing a wide variety of compliance and assigned supervisory tasks with respect to the agency’s securities business through the Broker Dealer.

Local/Regional travel required.

Essential Duties:

• Responsible for completing, on the General Agents(GA) behalf, requirements assigned to the General Agent in the agency compliance requirements, including client file review, producer interviews, all correspondence review (mail/e-mail), review of securities and CRIA accounts and transactions, Outside Business Activity, etc.
• Conducts inspections of district and other detached offices and completes required related documentation
• Review and ensure all securities and corporate investment advisory new accounts and transactions are in accordance with company requirements
• Notify GA of material deficiencies and develop written action plans to address. Assist in any internal investigations
• Ensure that all securities and corporate investment advisory new accounts and transactions are reviewed in accordance with the Company requirements.
• Coordinate and document the implementation of the Broker Dealer’s continuing education program (Firm Element)
• Conduct client file reviews and producer interviews while maintaining all required documentation on each.
• Establishes procedures to ensure all correspondence subject to Broker Dealer’s review requirements is completed and documented within agency timeframes. Promptly submit all written customer complaints, demands, and legal actions received by producers and agency associates.
• Monitor all enhanced supervision arrangements and regularly report to the GA on status.
• Conduct internal audits, assist regulators during examinations, and report the status of outcomes to GA and Home Office Personnel

Job Requirements and Qualifications:

• Bachelor’s degree or equivalent combination of education and experience.

• Series 7 and 66, and 24 licenses or five years in Financial Services Industry compliance role.

• Series 52/53 licenses preferred.
• Ability to maintain confidential information and communicate professionally with all business partners.
• Ability to meet deadlines and be in compliance with regulatory rules and timeframes.
• Strong organizational skills - Ability to manage multiple tasks simultaneously.
• Excellent interpersonal and collaboration skills - Ability to communicate with employees at all levels of the organization
• A demonstrated commitment to high professional ethical standards and a diverse workplace
• Flexible work schedule to meet business demands.
• Detail oriented with attention to accuracy and timeframes.

Required License:

• Series 7, 66, 24 License
• Series 52/53 (Preferred) or expected to obtain in 2022

Experience:

• Supervisory: Must have at least 2 years experience
• Education: Bachelor's (Preferred)

• Work authorization: United States Citizenship

· Job Type: Full-time

Job Type: Full-time

Pay: $72,000.00 - $82,000.00 per year

Benefits:

• 401(k) matching
• Dental insurance
• Health insurance
• Life insurance
• Paid time off

Schedule:

• 8 hour shift

Supplemental pay types:

• Bonus pay

Ability to commute/relocate:

• Lake Oswego, OR 97035: Reliably commute or planning to relocate before starting work (Required)

Experience:

• Supervisory: 2 years (Preferred)

Work Location: One location

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