Regional Supervisory Director

MassMutual; Indianapolis (IN); Remote; USD 139,000 - 164,000; Full time

Job summary

A leading financial services organization is seeking a compliance consultant with extensive experience. This remote role will involve overseeing agency operations, ensuring adherence to regulations, and collaborating with internal departments. The ideal candidate will possess strong regulatory knowledge and FINRA certifications, driving compliance strategies within a supportive team environment.

Benefits

Comprehensive benefits package

Career advancement opportunities

Remote work flexibility

Networking opportunities

Qualifications

• 7+ years of experience in a career agency or related role.
• FINRA Series 7 & 24 required at application.
• Understanding of regulatory requirements in financial services.

Responsibilities

• Monitor and guide agencies on regulatory requirements.
• Conduct oversight visits based on risk assessments.
• Coach on regulatory adherence and strategic planning.

Skills

Risk Management

Compliance

Internal Controls

Job description

Employer Industry: Financial Services

Why consider this job opportunity:
- Salary up to $163,800
- Opportunities for career advancement and growth within the organization
- Access to a diverse range of networking opportunities through Business Resource Groups
- Supportive and collaborative team environment focused on ethical practices
- Comprehensive benefits package including competitive salaries and incentive opportunities
- Work remotely, providing flexibility in your work environment

What to Expect (Job Responsibilities):
- Monitor, consult, and guide General Agencies (GAs) and Agency Supervisory Officers (ASOs) on regulatory and supervisory requirements
- Conduct oversight visits based on risk assessments and agency circumstances
- Assist agencies in developing a consistent supervisory structure through strategic planning
- Coach supervisors on regulatory requirements and ensure adherence to company guidelines
- Collaborate with various internal departments, including compliance and legal, to support strategic initiatives

What is Required (Qualifications):
- 7+ years of experience working in a career agency or in a role supporting an agency system
- FINRA Series 7 & 24 at the time of application
- FINRA Series 53 and 65/66 at the time of application or must be obtained within one year of hire
- Must currently reside in one of the following states: TX, IN, KS, MS, TN, IL

How to Stand Out (Preferred Qualifications):
- Experience in internal controls, compliance, or risk management
- Strong understanding of broker-dealer, investment advisory, and insurance regulatory requirements
- Advanced designations such as CLU, ChFC, CFP, or CFA
- FINRA Series 4 and 63

#FinancialServices #CareerOpportunity #RemoteWork #DiversityAndInclusion #CompetitivePay

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