Remote Risk Management & Trade Surveillance Consultant

MassMutual; United States; Remote; USD 90,000 - 130,000; Full time

Job summary

MassMutual is seeking a Risk Management Consultant for its Supervisory Controls Group. The role focuses on delegated trade review and surveillance to identify risks and noncompliance under FINRA/SEC/state rules.

It requires Series 7/24, multiple broker-dealer experiences, and strong collaboration with Compliance and Field teams. Remote work is offered with a hybrid option for candidates near Springfield, MA.

Qualifications

• Series 7 and 24 required at time of application.
• 3+ years' experience in the financial services industry.
• 2+ years’ broker dealer experience.
• High School Diploma.
• Candidates residing within 50 miles of the MassMutual Springfield, MA office will be required to work a hybrid schedule of 3 days a week.

Responsibilities

• Perform trade surveillance and monitoring activities and document findings.
• Collaborate with trending department, field management and business partners on corrective action plans.
• Regularly monitor surveillance trends and communicate with senior management.
• Meet Firm benchmarks for timeliness and productivity.
• Partner with Compliance and Home Office on regulatory matters and escalations.
• Keep current with Firm policies and the regulatory environment.

Skills

Series 7 & 24

Broker dealer experience

Financial services

Communication

Analytical thinking

Education

High School Diploma

Tools

Envestnet/MAS

BPM

Wealthscape

FBSI

MS Office

Job description

MassMutual is seeking a Risk Management Consultant for its Supervisory Controls Group. The role focuses on delegated trade review and surveillance to identify risks and noncompliance under FINRA/SEC/state rules.

It requires Series 7/24, multiple broker-dealer experiences, and strong collaboration with Compliance and Field teams. Remote work is offered with a hybrid option for candidates near Springfield, MA.