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    Compliance Officer - Allentown, United States - PeopleSolutionsNOW

    PeopleSolutionsNOW
    PeopleSolutionsNOW Allentown, United States

    6 days ago

    Default job background
    Banking / Loans
    Description

    Title: Director of Compliance

    Employer: MassMutual Greater Philadelphia

    Search Firm: PeopleSolutionsNOW

    Salary 80,000-120,000 Base Salary

    Hybrid (after 90 days)

    Fortune recognized MassMutual on list of World's Most Admired Companies. Are you looking to grow in a company that believes people are the best part of the company? At MassMutual Greater Philadelphia (MMGP), we believe our people are our greatest asset. We are committed to your development. We take pride in creating a culture where people always feel appreciated and challenged to grow.

    MassMutual Greater Philadelphia has an opportunity for a Compliance Director to join our team. The Compliance Director is responsible for completing a wide variety of compliance and assigned supervisory tasks with respect to the firm's securities business through MML, Investors Services, LLC. (MMLIS) and its insurance business with Massachusetts Mutual Life Insurance Company (MassMutual).

    The Team

    Since 1886, MMGP has been driven by a tradition of excellence which is built upon the fundamental principles of our creed. Our vision is to be the most trusted and respected insurance and wealth management firm for our clients, partners, associates, and community. Our mission is to create extraordinary opportunities so that dreams become reality.

    We enjoy what we do, and it shows. One of our core values is TEAMWORK, you can see teamwork is important to us when you interact with us. For a glimpse of who we are and what we stand for, check us out on LinkedIn, Facebook & Instagram.

    What We Do

    As a multifaceted financial planning and wealth management firm, we offer insurance and investment planning for individuals and businesses. We implement holistic financial solutions designed by a team of advisors embodying integrity, proactivity, and fellowship with an emphasis on people.

    This position will report directly to the Head of Compliance and will work closely with members of the team to ensure the firm and its associates follow regulatory requirements, as well as internal policies and procedures.

    The Impact

    As a Compliance Director, you will effectively communicate with the firm's associates, offering guidance on compliance concerns and supervisory guidelines. You will be responsible for having a comprehensive understanding of the supervisory and compliance obligations associated with the broker-dealer, registered investment advisory, as well as insurance business, to enforce the firm's compliance policies and procedures.

    Key Responsibilities Include

    Inspections and Personal Interviews

    • Conduct branch inspections of registered offices and other detached locations (some travel required)
    • Conduct personal interviews with advisors and registered staff.
    • Ensure client files are compliance with FINRA and SEC Rules

    Regulatory and Home Office Engagement

    • Serve as the liaison with regulators and home office compliance personnel.
    • Assist regulators during examinations and report the status of such examinations to home office compliance personnel.
    • Promptly notify and advise the home office compliance team of any potential or threatened customer complaints, demands and legal actions received by producers or associates.

    New Business and Transaction Oversight

    • Conduct reviews of new business to ensure 'regulation best interest' compliance.
    • Review exception reports to ensure broker-dealer and RIA compliance.
    • Monitor securities transactions and outside business activities.
    • Conduct third party verification phone calls for checks and outgoing wires.

    Communications

    • Conduct email and social media reviews
    • Review outgoing/incoming correspondence.

    Training and Support

    • Coordinate and document the completion of the annual firm element continuing education program.
    • Respond to questions from producers, management and associates regarding compliance issues and company policies.
    • Partner with management to develop and maintain corrective action plans, as needed.
    • Support the operations division in a supervisory capacity.

    The Minimum Qualifications

    • Series 7, 63 and 24 are required.
    • Series 53 is preferred. We will help the right candidate obtain Series 53.
    • Clear FINRA U4
    • Bachelor's degree
    • 5-7+ years of related work experience in the financial services industry with a thorough understanding of compliance requirements, suitability, and security transactions.

    The Ideal Candidate

    • Ability to work in a fast paced, ever-changing environment.
    • High degree of ownership and sense of urgency
    • Excellent interpersonal skills; team player, self-motivated; patient demeanor; approachable style
    • High aptitude for effective problem resolution
    • Superior customer service skills

    Benefits

    MassMutual Greater Philadelphia offers a wide variety of benefits to help support our employees' health, wellness, family, and financial goals.

    • W2 employee with base salary and bonus potential
    • Health Care Plans (Medical, Dental & Vision)
    • Retirement Plan (401k with 5% company matching)
    • Life Insurance (Basic, Voluntary & AD&D)
    • Paid Time Off
    • Paid Paternal Leave
    • Short Term & Long-Term Disability
    • Training & Development

    This is an opportunity to make a difference and build a career with a successful company with a significant growth trajectory.

    Work Location

    4905 Tilghman St. Suite 200

    Allentown, PA

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