Sr. Compliance Officer

Job Description

Job Description

Pay: $100,000.00 - $125,000.00 per year

The Opportunity

As a Sr. Compliance Manager at Mass Mutual Greater Richmond, you are responsible for reviewing advertising and marketing material partners from areas such as Marketing and the Broker Dealer/Corporate Registered Investment Adviser (MML Investors Services, LLC), as well as, from Financial Professionals in our field offices.

Our team is focused on managing the communications compliance risk for the Company through our field, and social media marketing review systems. We also review all material created by our Broker Dealer and Corporate Registered Investment Adviser content, including vendor created content. From a Financial Professional perspective, our team reviews all marketing material that promotes interest in MassMutual/ MML Investors Services, LLC, our products and services, as well as interest in our Financial Professionals. We also review awards/rankings, titles, designation requests, and Doing Business As (DBA) names. Our team mission is to understand the goals of our business/field partners and to help them accomplish those goals by taking a risk-based, solutions-oriented approach, while also maintaining compliance with various insurance and securities regulations.

We consistently focus on bringing our business/field partners additional resources to assist them with the creation and submission of their material and strive to improve efficiency through continuous improvement efforts.

Qualifications

• Holds the Series 24 registrations
• Possesses a can-do attitude, has a passion for delivering outstanding customer service, and has a solutions-oriented, risk-based mindset and can operate within “the gray.” Is empathic to the needs and goals of our business/field partners and demonstrates a sense of urgency when handling submissions.
• Motivated, Excellent verbal and written communication skills, problem solver, organized, works autonomously, and can balance their workload while also participating in projects/initiatives.
• Team player, who can work collaboratively with business and field partners to develop or modify business operating policies and procedures to help ensure compliance with applicable regulations.
• Posses minimum of 4 to 5 years of experience in the advertising and marketing material review space.

Why Us

We’ve been around since 1851. During our history, we’ve learned a few things about making sure our customers are our top priority. In order to meet and exceed their expectations, we must have the best people providing the best thinking, products and services. To accomplish this, we celebrate an inclusive, vibrant and diverse culture that encourages growth, openness and opportunities for everyone. A career with MassMutual means you will be part of a strong, stable and ethical business with industry leading pay and benefits. And your voice will always be heard.

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.

Job Type: Full-time

Benefits:

• 401(k)
• 401(k) matching
• Dental insurance
• Health insurance
• Life insurance
• Paid time off
• Retirement plan
• Vision insurance

Experience:

• Compliance and operations: 3 years (Required)

License/Certification:

• Series 24 (Required)