Risk Management & Compliance Consultant (Reg BI)

MassMutual; Springfield (MA); On-site; USD 90,000 - 130,000; Full time

Job summary

MassMutual in Springfield, MA is seeking a Risk Management Consultant to identify emerging sales practice risks, analyze data for trends, and influence risk mitigation across the advisory and securities business. You will partner with Compliance, Legal, Supervision, and Field leaders to provide actionable insights that strengthen supervision, support regulatory compliance, and protect advisors and clients.

The role focuses on documenting risk themes, KRIs, and coordinating with RSDs and agency

Qualifications

• FINRA Series 7 and 24 required at time of application.
• 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
• College Degree

Responsibilities

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

Skills

FINRA Series 7

FINRA Series 24

Compliance experience

Excel

Education

College Degree

Job description

MassMutual in Springfield, MA is seeking a Risk Management Consultant to identify emerging sales practice risks, analyze data for trends, and influence risk mitigation across the advisory and securities business. You will partner with Compliance, Legal, Supervision, and Field leaders to provide actionable insights that strengthen supervision, support regulatory compliance, and protect advisors and clients.

The role focuses on documenting risk themes, KRIs, and coordinating with RSDs and agency