Regulatory Operations Consultant

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 detail

• Agility in navigating evolving regulatory demands

• Inclusive teamwork and open communication

• Courage to ask tough questions and take on difficult issues

• Continuous learning and strong business acumen

The Impact 

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 platforms

• Ensure all activity aligns with firm policies, supervisory controls, and industry regulations

• Strengthen internal controls and help prevent violations before they occur

• Identify process improvements and enhance back‑office procedures

• Provide clear, confident guidance to internal and external partners

• Deliver training as needed and serve as a resource across the business

• Navigate difficult issues professionally and proactively

• Balance 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 Diploma

• Series 7 & 24 at time of application or must obtain within 6 months of hire date

• 2+ years experience in the financial service industry OR 1+ year of financial service industry experience with SIE completed

• If 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 Degree

• Series 7 and 24 at time of application

• Compliance or supervision experience with a FINRA registered Broker-Dealer and/or SEC Registered Investment Advisor

• 1+ year of experience with policies and provisions as it relates to brokerage products, state and federal law

• Critical Thinking: thoughtful process of analyzing data and problem-solving data to reach a well-reasoned solution

• Ability to partner effectively to drive our culture and execute on our common goals

• Appreciation and understanding of the financial services industry in order to make sound business decisions

• Able 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 supervision

• Ability to identify opportunities for operational efficiency and productivity improvements to mitigate financial, reputational and regulatory risk and to update processes with management approval

• Self-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

#LI-JF1

Salary Range:

At MassMutual, we focus on ensuring fair equitable pay, by providing competitive salaries, along with incentive and bonus opportunities for all employees. Your total compensation package includes either a bonus target or in a sales-focused role a Variable Incentive Compensation component.

Why Join 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. At MassMutual, we Live Mutual.

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.

At MassMutual, we focus on ensuring fair, equitable pay by providing competitive salaries, along with incentive and bonus opportunities for all employees.  Your total compensation package includes either a bonus target or in a sales-focused role a Variable Incentive Compensation component.  For more information about our extensive benefits offerings please check out our Total Rewards at a Glance.