Compliance Consultant -- Mutual Funds and Investment Advisory

Since 1851, MassMutual's commitment has always been to help people protect their families, support their communities, and help one another. This is why we want to inspire people to Live Mutual. We're people helping people.
A career with us means you will work alongside exceptional people and be empowered to reach your professional and personal goals. Our employees are the foundation of what makes MassMutual a strong, stable and ethical business. We seek and value unique and varied perspectives and experiences because we believe we are stronger when all voices are heard. We invite you to bring your bright, innovative ideas to MassMutual as we continue to help millions of Americans rely on each other.
Together, we're stronger.
Compliance empowers people to do the right thing by fostering a culture of ethics and integrity throughout the company. We have visibility into almost every aspect of our business so we are uniquely situated to connect the dots and provide innovative solutions. There is no "typical day" in compliance ? If you're looking for a challenging opportunity to work on a dynamic, highly collaborative team with a noble purpose, you'll love compliance.
The Mutual Funds and Investment Adviser Compliance Team is responsible for running a mature but continuously improving compliance and ethics programs for the MassMutual Funds and the Funds' registered investment adviser, MML Investment Advisers. This responsibility involves evaluating the adequacy and effectiveness of the Funds' and Adviser's policies and procedures; assessing compliance risks associated with new products and company operations; providing guidance to business partners on complying with company policies and complex regulations; administering a Code of Ethics; monitoring and responding to regulatory developments; identifying and helping to address conflicts of interest; supporting business initiatives; and conducting service provider due diligence.
The Funds are comprised of four registered open-end fund families that are offered through variable insurance products, retirement plans, and other distribution channels. The Funds include over 100 funds with regulatory assets under management of more than $50 billion, representing all major equity and fixed-income asset categories, money market funds, and funds-of-funds.
We are seeking candidates who have mutual fund and investment advisory compliance, legal, risk, or operations experience, or who have the passion, interest, and necessary skills to grow in this field. This position will report to the Chief Compliance Officer for the Funds and the Adviser, and will be part of a team of compliance professionals who work both independently and collaboratively to support our business activities. This position will involve regular contact with personnel in mutual fund operations, investment management, fund accounting, legal, and many of the Funds' service providers.
Manage the Adviser's registrations and exemptions with the Securities and Exchange Commission and Commodities Futures Trading Commission; monitor industry and regulatory developments impacting Form ADV and other regulatory filings.
Administer the Code of Ethics ("Code") applicable to the Funds and Adviser, which may include working independently or with the Code Administrator to conduct training, conduct compliance reviews, process data feeds/statements, continuously improve program, coordinate system upgrades, and stay current with regulatory matters and industry best practices related to codes of ethics.
Perform compliance oversight of financial intermediaries, including the review and assessment of certification responses and internal control reports.
Prepare and provide periodic reports to meet regulatory requirements governing political contributions, investing in certain foreign companies, and affiliates.
Assist with drafting and preparing compliance reports and other materials for the Funds' Board of Trustees.
Prepare for and help to respond to regulatory exams and inquiries.
Prepare for and help to respond to internal audits of the compliance function.
Remain current on regulatory requirements, developments, and best practices and influencing the integration of such practices into our business for a best-in-class compliance program.
Identify education initiatives created by new regulations or areas needing further educational support; coordinate, develop, and/or provide educational programming.
Maintain a compliance program/regulatory calendar.
Handle broader compliance projects and complete special assignments as required.
Meaningful experience in a regulatory compliance, legal, risk, or related function, ideally within the asset management or broader securities industry.
Strong organizational skills and attention to detail.
Strong communication skills, with the ability to generate precise and thorough documentation and reports.
Strong analytical skills, with the ability to effectively identify, communicate, and address potential issues.
Willingness to learn and ability to adapt to change driven by regulatory, industry, and business developments.
Proficient with Microsoft Office programs and at least some exposure to data base and data visualization software.
Ability to meet deadlines.
Ability to deal effectively with peers, as well as clients at all levels and areas of the organization.
Exhibits strong work ethic.
Exhibits highest ethical standards.
Bachelor's degree or higher.
Must be eligible to work in the United States without sponsorship now or in the future
This position also will require the associate to comply with an Investment Advisory Code of Ethics ("Code") pursuant to SEC rules and regulations. In accordance with Code provisions, you may be required to disclose, among other things, personal securities accounts (including household members) and investment transactions directed by you or members of your household. The company will also need to obtain duplicate trade confirmations and account statements from applicable brokers for monitoring purposes. In addition, you will need to make disclosures required by Form ADV.
Experience in the Investment or Assessment Management sector desired.
Ranked No. 93 in the annual FORTUNE ? 500 Ranking (FORTUNE ? Magazine, June 2018) and recognized as a World's Most Ethical Company by Ethisphere, MassMutual is guided by a single purpose: We help people secure their future and protect the ones they love. As a company owned by our policyowners, we are defined by mutuality and our vision to put customers first. It's more than our company structure ? it's our way of life. We are a company of people protecting people. Our company exists because people are willing to share risk and resources, and rely on each other when it counts. At MassMutual, we Live Mutual.
Focus on the Customer: We understand our customers well and look for every opportunity to deliver an experience that is clear, easy, personal, human, empowering and trustworthy.
Act with Integrity: We deliver on our promises by being open, honest and humble and by adhering to the letter and spirit of applicable laws, rules, regulations and company policies.
Value People: We respect and learn from each other's diverse backgrounds, experiences and ideas. We engage and develop people to their greatest potential.
Work Collaboratively: We work together to achieve results by actively listening, seeking, understanding and creating solutions as a unified team driving toward one company, one culture, one brand.
Achieve Results: We focus on winning by exceeding expectations and getting better ? everyone, every day.
For more information, visit www.massmutual.com or find us on Facebook, Twitter, LinkedIn, YouTube, Google+, Instagram and Pinterest.
MassMutual is an Equal Employment Opportunity employer Minority/Female/Sexual Orientation/Gender Identity/Individual with Disability/Protected Veteran. We welcome all persons to apply. Note: Veterans are welcome to apply, regardless of their discharge status.

Don't Be Fooled

The fraudster will send a check to the victim who has accepted a job. The check can be for multiple reasons such as signing bonus, supplies, etc. The victim will be instructed to deposit the check and use the money for any of these reasons and then instructed to send the remaining funds to the fraudster. The check will bounce and the victim is left responsible.

More Jobs

Consultant - Energy - Risk Management, Complia...
Concord, NH Navigant Consulting Inc.
Finance Manager - Material and Inventory Compl...
Nashua, NH BAE Systems
Finance Manager - Material and Inventory Compl...
Nashua, NH BAE Systems
Sr. Consultant, Product Compliance
Dover, NH Lincoln Financial Group
Sr. Consultant, Product Compliance
Concord, NH Lincoln Financial Group