Risk Management Consultant - Hartford - Massmutual

    Massmutual
    Massmutual Hartford

    1 hour ago

    Description
    The Opportunity

    The following information aims to provide potential candidates with a better understanding of the requirements for this role.

    The Risk Management Consultant is responsible for performing delegated trade review and surveillance to support field management to mitigate and identify potential risks and/or noncompliance issues with MML Investors Services LLC ("MMLIS") policies or laws and regulations as required by FINRA, the SEC and state insurance and securities divisions.

    The Team

    The MML Investor Services, LLC Supervisory Controls Group (SCG) is a well-established team of experienced Principals working together to provide solutions for our Field representatives and management.

    Team members show high levels of business acumen in the areas of communications, accountability, and relationship management.

    With the experience and inquisitive nature or the group, stretch goals and other business challenges are assigned for individual growth/development adding additional value.

    The team shares an ability to be agile with process utilizing their expertise and self-development capability to improve efficiency and focus on ensuring that the operations are completed timely and with quality.

    The SCG seeks to provide the best-in-class partnership with team members, internal partners, and field associates.
    The Impact
    As a Risk Management Consultant your responsibilities will include, but not be limited to the following:


    • Perform trade surveillance and monitoring activities while appropriately documenting and proactively identifying potential risks and/or violations of policies or regulations specifically within the firm's trade review systems.
    • Collaborate with trending department, field management, and business partners as needed to assist with development of corrective action plans designed to eliminate or reduce potential risks.
    • Regularly monitor and communicate surveillance or sales practice trends to relevant business partners and senior management.
    • Work efficiently and effectively to meet or exceed Firm benchmarks for timeliness and productivity.
    • Partner with Compliance, Field and Home Office business partners on regulatory matters and surveillance escalations.
    • Keep current with Firm policies and the regulatory environment.
    • Upon request from management, perform ad hoc projects, reviews or other duties as required or assigned.
    • Focus on the customer, act with integrity, value people, work collaboratively and achieve results.
    The Minimum 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.
    The Ideal Qualifications


    • 5+ years of broker dealer or compliance experience
    • Series 53 & 4
    • System knowledge: Envestnet/MAS, BPM, Wealthscape, and/ or FBSI
    • Works independently while collaborating with management, business partners and Compliance
    • Knowledge of trade review systems, computer skills, analytical competency and sound decision-making capacity
    • Strong Microsoft office skills including Outlook, Excel, PowerPoint and Word
    • Superior customer service, relationship building and communication skills
    • Excellent interpersonal skills; team player, self-motivated; patient demeanor; approachable style
    • Change agent experience with a constant focus on continuous improvement
    • Inclusive approach to working with the team and the ability to "listen to understand"
    • High aptitude for effective problem resolution
    What to Expect as Part of MassMutual and the Team


    • Regular meetings with the Supervisory Controls Group
    • Maintain and improve relationships with all business partners
    • Focused one-on-one meetings with your manager
    • Networking opportunities including access to Asian, Hispanic/Latinx, African American, women, LGBTQ, veteran and disability-focused Business Resource Groups
    • Access to learning content on Degreed and other informational platforms
    • Your ethics and integrity will be valued by a company with a strong and stable ethical business with industry leading pay and benefits
    #LI-DK1
    #LI-REMOTE MassMutual is an equal employment opportunity employer. We welcome all persons to apply.


    If you need an accommodation to complete the application process, please contact us and share the specifics of the assistance you need.

    xhmxlyz

    California residents:

    For detailed information about your rights under the California Consumer Privacy Act (CCPA), please visit our California Consumer Privacy Act Disclosures page.

  • Work in company

    Consulting Manager

    Only for registered members

    We guide Fortune 500 companies and global institutions through their most consequential, high-stakes decisions—when the path forward is uncertain, complex, and ambiguous. · We seek a Manager to join our team of industry-leading strategists.As a Manager you'll lead client engageme ...

    Hartford $130,000 - $190,000 (USD)

    1 month ago

  • Work in company

    Risk Management Consultant

    MassMutual

    Risk Management Consultant · The Opportunity · This role is responsible for performing delegated trade review and surveillance to support field management in mitigating potential risks and/or noncompliance issues with MML Investors Services LLC policies or laws and regulations. · ...

    Hartford

    20 hours ago

  • Work in company

    Manager, Business Consulting

    Only for registered members

    The Finance Manager is responsible for providing comprehensive financial analysis, reporting, and presentation support that enables leadership operational teams to make informed business decisions. · ...

    Hartford $66,330 - $145,860 (USD)

    1 month ago

  • Work in company

    Change Management Integration Consultant

    Only for registered members

    +Job summary · Lensa does not hire directly for these jobs but promotes them on LinkedIn.Oracle Health Government Services seeks detail-oriented professionals as Change Management Integration Consultants. · Develop plans for user support as new functionality or system changes in ...

    Hartford

    1 month ago

  • Work in company

    Manager, Medicare Business Consulting

    Only for registered members

    We're building a world of health around every individual — shaping a more connected, convenient and compassionate health experience. At CVS Health, you'll be surrounded by passionate colleagues who care deeply, innovate with purpose, hold ourselves accountable and prioritize safe ...

    Hartford $66,330 - $145,860 (USD) Full time

    1 week ago

  • Work in company

    Manager, Medicare Business Consulting

    Only for registered members

    We're building a world of health around every individual — shaping a more connected, convenient and compassionate health experience. At CVS Health, you'll be surrounded by passionate colleagues who care deeply, innovate with purpose, hold ourselves accountable and prioritize safe ...

    Hartford, CT

    6 days ago

  • Work in company

    Accounting Manager- Consulting Practice

    Only for registered members

    Stay challenged and leverage your accounting skillset without corporate org chart stress. · ...

    Hartford

    1 month ago

  • Work in company Remote job

    Manager, Business Consulting

    Only for registered members

    The Finance Manager is responsible for providing comprehensive financial analysis, reporting, and presentation support that enables leadership operational teams to make informed business decisions. This role is responsible for developing accurate and timely financial reports, pre ...

    Hartford, CT

    1 month ago

  • Work in company

    Accounting Manager- Consulting Practice

    Only for registered members

    We are seeking an Accounting Manager to join our consulting practice. As a Full-Time Project Consultant, you will be deployed locally or remotely to assist with projects suited to your expertise and experience. · You'll roll up your sleeves and work side-by-side with client leade ...

    Hartford County, CT

    1 month ago

  • Work in company

    Business Development Manager

    Only for registered members

    We are seeking a Business Development System professional to support growth initiatives through sales operations... · ...

    Hartford, CT

    1 month ago

  • Work in company

    Business Support Associate

    Only for registered members

    We are seeking a Business Support Associate to assist with daily business operations and coordination tasks. · The position supports multiple areas of the organization and helps ensure processes run smoothly and efficiently. · ...

    Hartford, CT

    1 month ago

  • Work in company

    Sales Associate

    Only for registered members

    We're hiring driven Sales Associates for a commission-based B2B sales role. · You'll work directly with business owners and decision-makers, presenting solutions and closing deals. · This role is best for people who like performance-based pay and want control over their earnings. ...

    Hartford, CT

    1 month ago

  • Work in company

    Sr. Manager, SAP EWM Consultant

    Only for registered members

    Date Posted: · Country: · United States of America · Location: · US-CO-REMOTE · Position Role Type: · Remote · U.S. Citizen, U.S. Person, or Immigration Status Requirements: · U.S. citizenship is required, as only U.S. citizens are authorized to access certain necessary systems. ...

    Hartford $132,400 - $251,600 (USD)

    2 weeks ago

  • Work in company

    Sr. Project Management Consultant

    Only for registered members

    This position represents Campus Services at all times and requires a good understanding of the Department's business and operational needs. Provides Electrical engineering support for manufacturing processes, infrastructure, and equipment within the facility by designing, specify ...

    East Hartford

    1 month ago

  • Work in company

    Sr. Project Management Consultant

    Only for registered members

    As a Sr. Project Management Consultant provides professional mechanical engineering and project management experience on designated projects and assignments for the East Hartford or Middletown campus and facilities. · ...

    East Hartford

    1 month ago

  • Work in company

    Senior Business Consultant Manager, Dental and Vision

    Only for registered members

    We're building a world of health around every individual — shaping a more connected, convenient and compassionate health experience. At CVS Health, you'll be surrounded by passionate colleagues who care deeply, innovate with purpose, hold ourselves accountable and prioritize safe ...

    Hartford $75,400 - $182,549 (USD)

    4 days ago

  • Work in company

    Senior Business Consultant Manager, Dental and Vision

    Only for registered members

    We're building a world of health around every individual — shaping a more connected, convenient and compassionate health experience. At CVS Health, you'll be surrounded by passionate colleagues who care deeply, innovate with purpose, hold ourselves accountable and prioritize safe ...

    Hartford, CT

    3 days ago

  • Work in company

    Project Management Consultant

    Only for registered members

    + Lead all areas of project management for singular real estate projects. This includes planning, compose, construction, occupancy and close out. · Work directly with clients to prepare all elements of the plan.This includes the scope of work, project delivery resource requiremen ...

    Windsor

    1 month ago

  • Work in company

    Project Management Consultant

    Only for registered members

    This is a full-time position as a Project Management Consultant at CBRE. The role involves managing teams responsible for complex projects and programs. You will work directly with clients to prepare project plans, define resources, implement documentation governance, and lead th ...

    Windsor, CT

    1 month ago

  • Work in company

    Business Analyst/Project Manager/Support Consultant

    Only for registered members

    Lead HR Learning Tech Projects with AI integration. · Aihr tech project support Contribute to AI driven or HR Tech initiatives by translating business needs into functional specifications and supporting · Independently build and document detailed product requirements in collabora ...

    East Hartford

    3 weeks ago

Jobs
>
Risk management consultant
>
Jobs for Risk management consultant in Hartford