Field Compliance Consultant

Profile

Field Compliance Consultant

The candidate will partner with MassMutual Financial Advisors to proactively deliver highly valued, risk-based support promoting a culture of compliance and ethics in the Field across all business lines. Will conduct fair and thorough inspections of agencies and draft tailored findings and meaningful risk-based remediation recommendations. Monitor, investigate, remediation and reporting of highly complex matters within the Company. Conduct surveillance of securities business, and follow up on findings with agencies. Employ knowledge and insights gained through agency inspection visits to fully understand agency infrastructure and enhance the quality of ongoing, risk-based guidance. Provide timely and practical compliance advice to members of the MMFA, including advice on handling producer misconduct and other general supervisory issues. Modify procedures or processes. Undertake fact-gathering and investigation activity to monitor the effectiveness of implementation within areas of responsibility. Develop and deliver training that is tailored to the needs of MMFA Field Partners. Drive follow-up and remediation of potential findings arising from trend reporting and data analytics activity. Have the ability to use business knowledge and understanding of customer needs to maximize benefit as well as efficiency.

Additional Information

job requisition id R12988

Company info

Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield
Massachusetts
United States 01111-0001
Website : http://www.massmutual.com