Regulatory Operations Specialist – Risk & Compliance

MassMutual; Springfield (MA); On-site; USD 95,000 - 130,000; Full time

Job summary

MassMutual is seeking a Regulatory Operations Consultant in Springfield, MA. You will evaluate exception reporting, ensure supervisory controls, and align activities with state, FINRA, and SEC standards.

You’ll document findings, collaborate across business areas, and support field leaders to strengthen the firm’s risk posture. You will review trade activity and documentation, build relationships, and deliver training as needed to protect the firm from regulatory risk.

Qualifications

• Bachelor's degree or higher with financial services exposure.
• Series 7 & 24 at application or within 6 months of hire date.
• 3+ years of experience in financial services and regulatory risk management.
• Ability to pass a fingerprint background check for FINRA compliance.

Responsibilities

• Review trade activity, money movement, and documentation across brokerage and RIA platforms.
• Ensure activity aligns with firm policies, supervisory controls and regulations.
• Strengthen internal controls and prevent violations before they occur.
• Identify process improvements and enhance back-office procedures.
• Provide clear guidance to internal and external partners.

Skills

Regulatory compliance

Analytical thinking

Attention to detail

Cross-functional collaboration

Problem solving

Education

Bachelor's Degree

High School Diploma

Job description

MassMutual is seeking a Regulatory Operations Consultant in Springfield, MA. You will evaluate exception reporting, ensure supervisory controls, and align activities with state, FINRA, and SEC standards.

You’ll document findings, collaborate across business areas, and support field leaders to strengthen the firm’s risk posture. You will review trade activity and documentation, build relationships, and deliver training as needed to protect the firm from regulatory risk.