Communications Compliance Consultant

Communications Compliance Consultant

Communications Compliance Team

Full-Time

Springfield, MA or Boston, MA

The Opportunity

As a Communications Compliance Consultant, you are primarily responsible for reviewing advertising and marketing material submitted by Home Office business 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.

The Team

The Communications Compliance Team is comprised of seasoned professionals with an average tenure of approximately 15 years. Our team is focused on managing the communications compliance risk for the Company through our field, home office, and social media marketing review systems. From a Home Office perspective, our team primarily reviews any marketing material created for use by our field force that is non-product related. We also review all material created by our Broker Dealer and Corporate Registered Investment Adviser including some vendor created content. From a Financial Professional perspective, our team reviews all marketing material that promotes interest in MassMutual/ MML Investors Services, LLC (our Broker Dealer/CRIA), 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.

The Impact

To help MassMutual live up to its brand promise and improve the customer experience, advertising and marketing material must be reviewed in accordance with applicable state and federal regulations to help ensure our customers are receiving accurate, timely, and helpful information that is on point with our brand and high ethical standards.

Additional duties include responsibility for fostering and sustaining collaborative business partner and field office relationships by taking a risk-based and solutions-oriented approach to reviewing material. 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.

The Minimum Qualifications

• 3 + years of Broker Dealer and/or Corporate Registered Investment Adviser experience
• Series 7 and 24 registrations

The Ideal Qualifications

• College degree
• Advertising review experience a plus
• Series 4 a plus
• Proficient in Microsoft Office Suite
• Possesses a can-do attitude, has a passion for delivering outstanding customer service, and has a solutions-oriented, collaborative, and risk-based mindset and can operate within “the gray.”
• Is empathic to the needs and goals of our business and field partners and demonstrates a sense of urgency when handling material reviews.
• Motivated self-starter, excellent verbal and written communication skills, problem solver, organized, and can work autonomously once trained and with limited coaching.
• 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.
• Demonstrated ability to champion and adapt quickly to change, increasing data literacy, and increasing utilization of technology and automation including in the artificial intelligence space.

What to Expect as Part of MassMutual and the Team

• Regular meetings with the Communications Compliance Team
• 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

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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.

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