Risk Management Consultant

MassMutual

. Perform delegated trade review and surveillance to support field management .

Posted 10/20/2026full-timeUnited StatesMid-LevelSenior💰 $84,100 - $110,300 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in trade review and surveillance within the financial services industry, ensuring compliance with MMLIS policies, FINRA, SEC, and state regulations. Proficient in risk identification, documentation, and collaboration with business partners to develop corrective action plans.

Highest-signal resume keywords

Series 7 CertificationSeries 24 CertificationTrade Review Systems KnowledgeEnvestnet/MAS System KnowledgeAnalytical Competency

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Trade SurveillanceRisk MitigationCompliance MonitoringRegulatory KnowledgeDecision-Making Capacity

Soft Skills

Customer ServiceRelationship BuildingCommunication SkillsProblem ResolutionCollaboration

Tools & Technologies

BPMWealthscapeFBSIMicrosoft Office Suite

Certifications & Qualifications

Series 53 CertificationSeries 4 Certification

Industry Keywords

Financial ServicesBroker Dealer ExperienceRegulatory ComplianceTrade ReviewSurveillance Escalations

About the role

Key responsibilities & impact

Perform delegated trade review and surveillance to support field management
Identify and mitigate potential risks and noncompliance issues involving MMLIS policies, FINRA, SEC, and state insurance and securities regulations
Perform trade surveillance and monitoring activities
Document and proactively identify potential risks and policy or regulatory violations within the firm’s trade review systems
Collaborate with the trending department, field management, and business partners to develop corrective action plans
Monitor and communicate surveillance or sales practice trends to business partners and senior management
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
Perform ad hoc projects, reviews, or other assigned duties
Focus on the customer, act with integrity, value people, work collaboratively, and achieve results

Requirements

What you’ll need

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
5+ years of broker dealer or compliance experience preferred as an ideal qualification
Series 53 & 4 listed as ideal qualifications
System knowledge: Envestnet/MAS, BPM, Wealthscape, and/or FBSI
Ability to work 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
High aptitude for effective problem resolution
Candidates residing within 50 miles of the MassMutual Springfield, MA office will be required to work a hybrid schedule of 3 days a week

Benefits

Comp & perks

Competitive salaries
Incentive and bonus opportunities
Bonus target or Variable Incentive Compensation component
Learning, development, and internal networks supporting continuous growth and skill-building
Employee-led communities and forums supporting connection, learning, and inclusion
Industry-leading pay and benefits
Accommodation support during the application process