Regulatory Operations Consultant

Supervisory Control Procedures Team Full-time / Springfield, MA The Opportunity As a Regulatory Operations Consultant, you’ll evaluate exception reporting, ensure compliance with supervisory controls, and help uphold state, FINRA, and SEC standards. You’ll document your findings, partner across multiple business areas, and build relationships with field leaders who rely on your expertise. This is a high‑impact role where your curiosity, judgment, and analytical skills will directly influence the firm’s risk posture. You’ll join a team that actively invests in your growth, supports your ambitions, and wants to see you reach your career goals. If you’re energized by solving complex problems, digging into details, and playing a direct role in protecting a firm from financial and regulatory risk, this is the role for you! The Team You’ll Join The Supervisory Control Procedures Team—a Collaborative, Multi‑tiered Group Dedicated To Protecting The Firm And Its Partners. The Team Is Known For Strong accountability and attention to detailAgility in navigating evolving regulatory demandsInclusive teamwork and open communicationCourage to ask tough questions and take on difficult issuesContinuous learning and strong business acumen The Impact Skills In this role, you’ll be a key player in ensuring the firm remains compliant, efficient, and well‑protected from regulatory risk. You’ll use your judgment, research skills, and problem‑solving mindset to: Review trade activity, money movement, and documentation across brokerage and RIA platformsEnsure all activity aligns with firm policies, supervisory controls, and industry regulationsStrengthen internal controls and help prevent violations before they occurIdentify process improvements and enhance back‑office proceduresProvide clear, confident guidance to internal and external partnersDeliver training as needed and serve as a resource across the businessNavigate difficult issues professionally and proactivelyBalance attention to detail with an understanding of the broader regulatory landscape You’ll have the opportunity to make meaningful improvements, recommend operational efficiencies, and contribute to a culture of compliance, integrity, and continuous improvement. The Minimum Qualifications High School DiplomaSeries 7 & 24 at time of application or must obtain within 6 months of hire date2+ years experience in the financial service industry OR 1+ year of financial service industry experience with SIE completedIf candidate does not currently hold FINRA Licenses at time of application, then due to the nature of this position, as a part of our background check process, candidates must be able to pass a non-registered fingerprint background check to qualify as a fingerprinted person under FINRA The Ideal Qualifications Bachelor's DegreeSeries 7 and 24 at time of applicationCompliance or supervision experience with a FINRA registered Broker-Dealer and/or SEC Registered Investment Advisor1+ year of experience with policies and provisions as it relates to brokerage products, state and federal lawCritical Thinking: thoughtful process of analyzing data and problem-solving data to reach a well-reasoned solutionAbility to partner effectively to drive our culture and execute on our common goalsAppreciation and understanding of the financial services industry in order to make sound business decisionsAble to use knowledge and skills to monitor advisory and brokerage assets, complete regulatory reporting and assist the firm in maintaining proper compliance with company policy, FINRA, SEC, and state regulatory rules with limited supervisionAbility to identify opportunities for operational efficiency and productivity improvements to mitigate financial, reputational and regulatory risk and to update processes with management approvalSelf-motivated and has personal accountability to achieve career development by leveraging resources available What You Can Expect At MassMutual MassMutual offers the opportunity to do meaningful work within a purpose-driven organization that values long-term impact over short-term outcomes. In this role, you can expect: Clear areas of ownership and accountability, with work that connects directly to company and customer outcomes A collaborative environment where perspectives are welcomed Access to learning, development, and internal networks that support continuous growth and skill-building over time Employee-led communities and forums that foster connection, learning, and inclusion across the organization A culture grounded in integrity, responsibility, and stewardship—supported by a company with a strong legacy and a future-focused mindset 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. California residents: For detailed information about your rights under the California Consumer Privacy Act (CCPA), please visit our California Consumer Privacy Act Disclosures page.