Remote Sales Practice Risk Consultant

Massachusetts Mutual Life Insurance Co.; Boston (MA); Remote; USD 110,000 - 170,000; Full time

Job summary

MassMutual seeks a Sales Practice Risk Consultant to identify emerging sales practice risks and analyze trends across advisory and securities businesses. You will partner with Compliance, Legal, Supervision, and Field leaders to provide actionable insights that strengthen supervisory practices and regulatory compliance.

The role focuses on data-driven risk observations, documentation, and collaboration with regional directors to drive effective follow-up and improved controls.

Qualifications

• 4+ years in Compliance/supervisory roles supporting a broker dealer/investment advisor including brokerage products, program policies and provisions, FINRA rules and guidance, and state and federal securities law
• 3+ years of experience with Microsoft Excel
• Associates Degree

Responsibilities

• Evaluate FINRA and SEC annual guidance and disciplinary actions, information from internal business partners, and direct observations to proactively identify potential sales practice risks, particularly those involving Regulation Best Interest (Reg BI).
• Gather and analyze company-level data to establish metrics for Key Risk Indicators (KRIs).
• Conduct in-depth reviews of advisors who meet or exceed established KRI thresholds.
• Prepare clear, professional reports that communicate the risks reviewed and any resulting Items of Note for each advisor.
• Meet with Regional Supervisory Directors (RSDs) and Agency Supervision staff to discuss written reports, observations, and consult on appropriate follow-up.
• Track documentation of agency supervisory activity and notify RSDs when documentation is not received or does not sufficiently address identified risk areas.
• Partner with Compliance, the Field, MMLIS, Legal and other Home Office business partners on regulatory matters and surveillance escalations.
• Stay apprised of current knowledge of Firm policies and the evolving regulatory environment.
• Complete ad hoc projects, reviews, and other duties as requested.

Skills

FINRA Series 7

FINRA Series 24

Microsoft Excel

Reg BI knowledge

Regulatory compliance

Report writing

Education

Associates Degree

Tools

Advisor360 Suite

Wealthscape

Envestnet

FBSI

Job description

MassMutual seeks a Sales Practice Risk Consultant to identify emerging sales practice risks and analyze trends across advisory and securities businesses. You will partner with Compliance, Legal, Supervision, and Field leaders to provide actionable insights that strengthen supervisory practices and regulatory compliance.

The role focuses on data-driven risk observations, documentation, and collaboration with regional directors to drive effective follow-up and improved controls.