Job description
THE OPPORTUNITY
As a Regulatory Reporting Consultant you will support MMLIS, Compliance, Corporate Audit, and the MassMutual Law Department by providing ongoing consultative services regarding adherence to regulatory standards. In this role you will be responsible for responding to regulatory requests from FINRA, the SEC and state regulators and you will gather documentation, work with massive amounts of data sets, manage various tasks and and continuously assess business risk. While we have recurring tasks and responsibilities, much of this job involves being able to shift priorities and juggle multiple requests, all of which will be time sensitive and delivered to parties including, but not limited to regulators, auditors, Compliance and Law.
THE TEAM
The MMLIS Internal Controls team ranges from over a decade to less than three years. We value a collaborative team environment and do whatever it takes to get the job done and get it done right!
THE IMPACT
Our team operations require detailed data analysis, conceptual thinking, and the ability to work productively with a wide range of internal and external business partners. Successful candidates will be adept at working independently as well as contributing to and communicating regarding larger scale team projects. Individuals must be comfortable with learning new processes and systems, and have the ability to problem solve, and prioritize the completion of incoming requests from various sources.
THE KEY RESPONSIBILTIES INCLUDE:
Lead regulatory projects
Coordinate information gathering and responses for FINRA, SEC, Internal Audit, and other inquiries and examinations
Gather and analyze data and metrics from various back office applications
Partner with internal and external groups to develop, implement, and test internal controls
Conduct a variety of Supervisory Control Procedures to ensure Field and Home Office access to and activity in certain systems is appropriate
THE MINIMUM QUALIFICATIONS
High School Diploma
Series 7 at time of application
At least 4+ years experience in the financial services industry
Experience gathering or analyzing large data sets
Proficiency with Excel
THE IDEAL QUALIFICATIONS
Experience with Alteryx
Audit, Compliance or Operations experience
Excellent interpersonal communication skills
Strong organizational skills and detail orientation
Ability to collaborate across diverse teams and organizations
WORK LOCATION - SPRINGFIELD, MA
Position will be required to work in our Springfield, MA office at least 3 days a week
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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.
Offers of employment are contingent on the completion of satisfactory references, background investigation, and (if applicable) any federal securities law requirements/FINRA regulations (including fingerprinting) and/or passing of a drug screening.
At MassMutual, we focus on ensuring fair, equitable pay by providing competitive salaries, along with incentive and bonus opportunities for all employees. Your total compensation package includes either a bonus target or in a sales-focused role a Variable Incentive Compensation component. For more information about our extensive benefits offerings please check out our Total Rewards at a Glance.arclintfl.com is the go-to platform for job seekers looking for the best job postings from around the web. With a focus on quality, the platform guarantees that all job postings are from reliable sources and are up-to-date. It also offers a variety of tools to help users find the perfect job for them, such as searching by location and filtering by industry. Furthermore, arclintfl.com provides helpful resources like resume tips and career advice to give job seekers an edge in their search. With its commitment to quality and user-friendliness, arclintfl.com is the ideal place to find your next job.