The Opportunity The Risk Management Consultant is responsible for performing delegated trade review and surveillance to support field management to mitigate and identify potential risks and/or noncompliance issues with MML Investors Services LLC ("MMLIS") policies or laws and regulations as required by FINRA, the SEC and state insurance and securities divisions. The Team The MML Investor Services, LLC Supervisory Controls Group (SCG) is a well-established team of experienced Principals working together to provide solutions for our Field representatives and management. Team members show high levels of business acumen in the areas of communications, accountability, and relationship management. With the experience and inquisitive nature or the group, stretch goals and other business challenges are assigned for individual growth/development adding additional value. The team shares an ability to be agile with process utilizing their expertise and self-development capability to improve efficiency and focus on ensuring that the operations are completed timely and with quality. The SCG seeks to provide the best-in-class partnership with team members, internal partners, and field associates. The Impact As a Risk Management Consultant your responsibilities will include, but not be limited to the following: Perform trade surveillance and monitoring activities while appropriately documenting and proactively identifying potential risks and/or violations of policies or regulations specifically within the firm's trade review systems. Collaborate with trending department, field management, and business partners as needed to assist with development of corrective action plans designed to eliminate or reduce potential risks. Regularly monitor and communicate surveillance or sales practice trends to relevant business partners and senior management. Work efficiently and effectively to 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. Upon request from management, perform ad hoc projects, reviews or other duties as required or assigned. Focus on the customer, act with integrity, value people, work collaboratively and achieve results. The Minimum Qualifications 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 Candidates residing within 50 miles of the MassMutual Springfield, MA office will be required to work a hybrid schedule of 3 days a week. The Ideal Qualifications 5+ years of broker dealer or compliance experience Series 53 & 4 System knowledge: Envestnet/MAS, BPM, Wealthscape, and/ or FBSI Works 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 Excellent interpersonal skills; team player, self-motivated; patient demeanor; approachable style Change agent experience with a constant focus on continuous improvement Inclusive approach to working with the team and the ability to "listen to understand" High aptitude for effective problem resolution What to Expect as Part of MassMutual and the Team Regular meetings with the Supervisory Controls Group Maintain and improve relationships with all business partners 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 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. California residents: For detailed information about your rights under the California Consumer Privacy Act (CCPA), please visit our California Consumer Privacy Act Disclosures page.
03/03/2026
Full time
The Opportunity The Risk Management Consultant is responsible for performing delegated trade review and surveillance to support field management to mitigate and identify potential risks and/or noncompliance issues with MML Investors Services LLC ("MMLIS") policies or laws and regulations as required by FINRA, the SEC and state insurance and securities divisions. The Team The MML Investor Services, LLC Supervisory Controls Group (SCG) is a well-established team of experienced Principals working together to provide solutions for our Field representatives and management. Team members show high levels of business acumen in the areas of communications, accountability, and relationship management. With the experience and inquisitive nature or the group, stretch goals and other business challenges are assigned for individual growth/development adding additional value. The team shares an ability to be agile with process utilizing their expertise and self-development capability to improve efficiency and focus on ensuring that the operations are completed timely and with quality. The SCG seeks to provide the best-in-class partnership with team members, internal partners, and field associates. The Impact As a Risk Management Consultant your responsibilities will include, but not be limited to the following: Perform trade surveillance and monitoring activities while appropriately documenting and proactively identifying potential risks and/or violations of policies or regulations specifically within the firm's trade review systems. Collaborate with trending department, field management, and business partners as needed to assist with development of corrective action plans designed to eliminate or reduce potential risks. Regularly monitor and communicate surveillance or sales practice trends to relevant business partners and senior management. Work efficiently and effectively to 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. Upon request from management, perform ad hoc projects, reviews or other duties as required or assigned. Focus on the customer, act with integrity, value people, work collaboratively and achieve results. The Minimum Qualifications 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 Candidates residing within 50 miles of the MassMutual Springfield, MA office will be required to work a hybrid schedule of 3 days a week. The Ideal Qualifications 5+ years of broker dealer or compliance experience Series 53 & 4 System knowledge: Envestnet/MAS, BPM, Wealthscape, and/ or FBSI Works 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 Excellent interpersonal skills; team player, self-motivated; patient demeanor; approachable style Change agent experience with a constant focus on continuous improvement Inclusive approach to working with the team and the ability to "listen to understand" High aptitude for effective problem resolution What to Expect as Part of MassMutual and the Team Regular meetings with the Supervisory Controls Group Maintain and improve relationships with all business partners 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 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. California residents: For detailed information about your rights under the California Consumer Privacy Act (CCPA), please visit our California Consumer Privacy Act Disclosures page.
The Opportunity The Risk Management Consultant is responsible for performing delegated trade review and surveillance to support field management to mitigate and identify potential risks and/or noncompliance issues with MML Investors Services LLC ("MMLIS") policies or laws and regulations as required by FINRA, the SEC and state insurance and securities divisions. The Team The MML Investor Services, LLC Supervisory Controls Group (SCG) is a well-established team of experienced Principals working together to provide solutions for our Field representatives and management. Team members show high levels of business acumen in the areas of communications, accountability, and relationship management. With the experience and inquisitive nature or the group, stretch goals and other business challenges are assigned for individual growth/development adding additional value. The team shares an ability to be agile with process utilizing their expertise and self-development capability to improve efficiency and focus on ensuring that the operations are completed timely and with quality. The SCG seeks to provide the best-in-class partnership with team members, internal partners, and field associates. The Impact As a Risk Management Consultant your responsibilities will include, but not be limited to the following: Perform trade surveillance and monitoring activities while appropriately documenting and proactively identifying potential risks and/or violations of policies or regulations specifically within the firm's trade review systems. Collaborate with trending department, field management, and business partners as needed to assist with development of corrective action plans designed to eliminate or reduce potential risks. Regularly monitor and communicate surveillance or sales practice trends to relevant business partners and senior management. Work efficiently and effectively to 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. Upon request from management, perform ad hoc projects, reviews or other duties as required or assigned. Focus on the customer, act with integrity, value people, work collaboratively and achieve results. The Minimum Qualifications 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 Candidates residing within 50 miles of the MassMutual Springfield, MA office will be required to work a hybrid schedule of 3 days a week. The Ideal Qualifications 5+ years of broker dealer or compliance experience Series 53 & 4 System knowledge: Envestnet/MAS, BPM, Wealthscape, and/ or FBSI Works 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 Excellent interpersonal skills; team player, self-motivated; patient demeanor; approachable style Change agent experience with a constant focus on continuous improvement Inclusive approach to working with the team and the ability to "listen to understand" High aptitude for effective problem resolution What to Expect as Part of MassMutual and the Team Regular meetings with the Supervisory Controls Group Maintain and improve relationships with all business partners 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 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. California residents: For detailed information about your rights under the California Consumer Privacy Act (CCPA), please visit our California Consumer Privacy Act Disclosures page.
03/03/2026
Full time
The Opportunity The Risk Management Consultant is responsible for performing delegated trade review and surveillance to support field management to mitigate and identify potential risks and/or noncompliance issues with MML Investors Services LLC ("MMLIS") policies or laws and regulations as required by FINRA, the SEC and state insurance and securities divisions. The Team The MML Investor Services, LLC Supervisory Controls Group (SCG) is a well-established team of experienced Principals working together to provide solutions for our Field representatives and management. Team members show high levels of business acumen in the areas of communications, accountability, and relationship management. With the experience and inquisitive nature or the group, stretch goals and other business challenges are assigned for individual growth/development adding additional value. The team shares an ability to be agile with process utilizing their expertise and self-development capability to improve efficiency and focus on ensuring that the operations are completed timely and with quality. The SCG seeks to provide the best-in-class partnership with team members, internal partners, and field associates. The Impact As a Risk Management Consultant your responsibilities will include, but not be limited to the following: Perform trade surveillance and monitoring activities while appropriately documenting and proactively identifying potential risks and/or violations of policies or regulations specifically within the firm's trade review systems. Collaborate with trending department, field management, and business partners as needed to assist with development of corrective action plans designed to eliminate or reduce potential risks. Regularly monitor and communicate surveillance or sales practice trends to relevant business partners and senior management. Work efficiently and effectively to 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. Upon request from management, perform ad hoc projects, reviews or other duties as required or assigned. Focus on the customer, act with integrity, value people, work collaboratively and achieve results. The Minimum Qualifications 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 Candidates residing within 50 miles of the MassMutual Springfield, MA office will be required to work a hybrid schedule of 3 days a week. The Ideal Qualifications 5+ years of broker dealer or compliance experience Series 53 & 4 System knowledge: Envestnet/MAS, BPM, Wealthscape, and/ or FBSI Works 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 Excellent interpersonal skills; team player, self-motivated; patient demeanor; approachable style Change agent experience with a constant focus on continuous improvement Inclusive approach to working with the team and the ability to "listen to understand" High aptitude for effective problem resolution What to Expect as Part of MassMutual and the Team Regular meetings with the Supervisory Controls Group Maintain and improve relationships with all business partners 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 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. California residents: For detailed information about your rights under the California Consumer Privacy Act (CCPA), please visit our California Consumer Privacy Act Disclosures page.
Sales Consultant - Baltimore, MD Baltimore, MD, USA Req Job Description In-Home Mobility Sales Consultant - Baltimore, MD Are you an experienced B2C (Business to Consumer) Sales Professional with an empathetic communication style and demonstrated success selling in-home equipment, durable medical equipment (DME), or home improvements? Lifeway Mobility is a nationwide leader in home mobility products and solutions, and we are seeking a dynamic and experienced in-home Sales Consultant to join our growing team. In this role, you'll help families with mobility and accessibility challenges, to ensure they live safer, more independent lives at home. As a Sales Consultant, you'll be the key point of contact for customers, guiding them through life-changing solutions while providing exceptional customer service. Your success will be achieved by your ability to build trust, assess and understand customer needs, deliver solutions that meet mobility requirements, and provide an exceptional customer experience that earns our 5-star ratings. Blueprint for Success: • In-Home Customer Consultations: Meet with 2-3 prospective customers and their families each day, to assess home accessibility and the in-home mobility needs of the client. • Provide Solutions: Present and demonstrate home accessibility products such as handicap ramps, chair lifts, stair lifts, grab bars and in-home renovations that will improve safety and mobility for clients. • Create Proposals: Measure, assess, and prepare accurate estimates and proposals for customers based on their needs. • Collaboration: Work closely with the operations team to ensure clear communication, and customer satisfaction from the sale through installation. • Manage Sales Process: Handle customer questions, manage objections, and offer solutions including financing and rental options. • Build Leads: Generate 20% of your own leads through customer referrals, repeat business, and community outreach. • Customer Experience: Aim to exceed customer expectations, ensuring satisfaction and fostering long-term relationships. Qualifications & Skills: • Previous experience in business-to-consumer sales (B2C), preferably in-home sales or residential equipment sales. • Excellent communication skills with the ability to listen and respond effectively to customer needs; perform needs assessment and suggest customized solutions. • Attention to detail and solid organizational skills; must be comfortable working with company software including uploading photos, taking measurements, and updating customer records. • Must have a valid driver's license and be willing to travel throughout designated territory. A company car is provided. Company Culture and Values: Lifeway Mobility is a community driven by our Core Values of Putting People First, Being Accountable, and Doing Well While Doing Good. These principles guide everything we do, from the products we offer to the way we interact with our customers and each other. We care about our employees' well-being. Join our team and enjoy a comprehensive benefits package that includes medical, dental, vision, 401k, employer paid life insurance and LTD, and some voluntary benefits too. We set you up for success at the start- with our Academy, which includes virtual and in-person training, ongoing support, and the opportunity to grow, either in your role, or into a new role. Plus, you'll have the opportunity to relax and recharge with 7 paid holidays and three weeks of PTO. Compensation Sales Consultants earn a base salary of 60K, and uncapped monthly commission on sales. First year earnings for passionate performers is $85K- $90K. Job Details Pay Type Salary Travel Required Yes PIcd9c493a5-
03/03/2026
Full time
Sales Consultant - Baltimore, MD Baltimore, MD, USA Req Job Description In-Home Mobility Sales Consultant - Baltimore, MD Are you an experienced B2C (Business to Consumer) Sales Professional with an empathetic communication style and demonstrated success selling in-home equipment, durable medical equipment (DME), or home improvements? Lifeway Mobility is a nationwide leader in home mobility products and solutions, and we are seeking a dynamic and experienced in-home Sales Consultant to join our growing team. In this role, you'll help families with mobility and accessibility challenges, to ensure they live safer, more independent lives at home. As a Sales Consultant, you'll be the key point of contact for customers, guiding them through life-changing solutions while providing exceptional customer service. Your success will be achieved by your ability to build trust, assess and understand customer needs, deliver solutions that meet mobility requirements, and provide an exceptional customer experience that earns our 5-star ratings. Blueprint for Success: • In-Home Customer Consultations: Meet with 2-3 prospective customers and their families each day, to assess home accessibility and the in-home mobility needs of the client. • Provide Solutions: Present and demonstrate home accessibility products such as handicap ramps, chair lifts, stair lifts, grab bars and in-home renovations that will improve safety and mobility for clients. • Create Proposals: Measure, assess, and prepare accurate estimates and proposals for customers based on their needs. • Collaboration: Work closely with the operations team to ensure clear communication, and customer satisfaction from the sale through installation. • Manage Sales Process: Handle customer questions, manage objections, and offer solutions including financing and rental options. • Build Leads: Generate 20% of your own leads through customer referrals, repeat business, and community outreach. • Customer Experience: Aim to exceed customer expectations, ensuring satisfaction and fostering long-term relationships. Qualifications & Skills: • Previous experience in business-to-consumer sales (B2C), preferably in-home sales or residential equipment sales. • Excellent communication skills with the ability to listen and respond effectively to customer needs; perform needs assessment and suggest customized solutions. • Attention to detail and solid organizational skills; must be comfortable working with company software including uploading photos, taking measurements, and updating customer records. • Must have a valid driver's license and be willing to travel throughout designated territory. A company car is provided. Company Culture and Values: Lifeway Mobility is a community driven by our Core Values of Putting People First, Being Accountable, and Doing Well While Doing Good. These principles guide everything we do, from the products we offer to the way we interact with our customers and each other. We care about our employees' well-being. Join our team and enjoy a comprehensive benefits package that includes medical, dental, vision, 401k, employer paid life insurance and LTD, and some voluntary benefits too. We set you up for success at the start- with our Academy, which includes virtual and in-person training, ongoing support, and the opportunity to grow, either in your role, or into a new role. Plus, you'll have the opportunity to relax and recharge with 7 paid holidays and three weeks of PTO. Compensation Sales Consultants earn a base salary of 60K, and uncapped monthly commission on sales. First year earnings for passionate performers is $85K- $90K. Job Details Pay Type Salary Travel Required Yes PIcd9c493a5-
Who We Are AMADA Franchise Inc. (AFI) is built on purpose, performance, and people. We are Compassionate and Charitable - we love serving others and always do what is right for the client, our franchise partners, and our team. We are Competitively Driven to Be the Best , holding high standards for ourselves while working as a team to continuously improve. We operate with Urgency in All Things , taking immediate action and proactively solving challenges. We embrace an Old School Entrepreneur Mentality - we outwork others, do more with less, and believe effort today creates results tomorrow. We are Confidently Humble and Grateful , optimistic about what we can achieve while always striving to grow. If you are passionate about senior care, accountability, and helping business owners succeed, we invite you to apply for the Franchise Business Consultant role. The Franchise Business Consultant (FBC) serves as the strategic bridge between AMADA Franchise Inc. (AFI) and our community of franchise partners. This role provides operational analysis, business coaching, and performance support to improve caregiver recruiting and retention, sales growth, financial performance, and overall operational benchmarks-while protecting brand integrity and system standards. This role may be remote and requires approximately 25% travel to support franchise partners through site visits, training, and performance meetings. You will support approximately 25-35 franchise partners and play a key role in driving consistent execution of AMADA's 3 Pillars of Success: Caregiving, Sales, and Operations. Franchise Partner Coaching & Support Conduct bi-weekly performance meetings with assigned franchise partners Train and reinforce best practices aligned with AMADA's 3 Pillars of Success Analyze KPIs and financial reports to identify performance gaps Conduct bi-annual Profit & Loss (P&L) reviews Recommend strategic improvements to increase revenue and operational efficiency Ensure compliance with Franchise Agreements and brand standards Performance & Analytics Track and report required KPIs during weekly Training & Support meetings Compare actual performance to projections and benchmarks Develop actionable improvement plans Training & Engagement Participate in and facilitate AMADA U trainings Lead Peer Performance Groups as assigned Support planning and execution of the Annual Franchise Conference Conduct site visits as directed Required Qualifications Bachelor's degree OR 5+ years of experience in sales and operations training Experience in senior healthcare or private duty home care (strongly preferred) Franchise experience (preferred) Ability to analyze financial statements and operational metrics Strong coaching and interpersonal communication skills Excellent organizational and time management skills Willingness to travel approximately 25% Core Competencies for Success Job Knowledge - Deep understanding of senior care operations and business performance Analytical Skills - Ability to evaluate data, identify trends, and recommend strategic solutions Organizational & Schedule Management - Effectively manage multiple franchise relationships and deadlines Follow-Through - High level of accountability and ownership Teamwork - Collaborative and solutions-oriented Communication - Clear, concise, professional verbal and written communication Comprehensive Benefits Package Includes: 100% Employer-Paid Medical, Dental & Vision Coverage (Employee Only) Competitive bonus opportunity Paid time off EAP Why Join AMADA? This is more than a consulting role. It is an opportunity to: Influence and grow a national senior care brand Coach business owners to achieve meaningful results Make a direct impact on caregivers, seniors, and families Work within a mission-driven, values-based organization If you are a strategic thinker, a strong coach, and passionate about senior care excellence, we invite you to apply. Compensation details: 0 Yearly Salary PI70db00ecae3d-3223
03/03/2026
Full time
Who We Are AMADA Franchise Inc. (AFI) is built on purpose, performance, and people. We are Compassionate and Charitable - we love serving others and always do what is right for the client, our franchise partners, and our team. We are Competitively Driven to Be the Best , holding high standards for ourselves while working as a team to continuously improve. We operate with Urgency in All Things , taking immediate action and proactively solving challenges. We embrace an Old School Entrepreneur Mentality - we outwork others, do more with less, and believe effort today creates results tomorrow. We are Confidently Humble and Grateful , optimistic about what we can achieve while always striving to grow. If you are passionate about senior care, accountability, and helping business owners succeed, we invite you to apply for the Franchise Business Consultant role. The Franchise Business Consultant (FBC) serves as the strategic bridge between AMADA Franchise Inc. (AFI) and our community of franchise partners. This role provides operational analysis, business coaching, and performance support to improve caregiver recruiting and retention, sales growth, financial performance, and overall operational benchmarks-while protecting brand integrity and system standards. This role may be remote and requires approximately 25% travel to support franchise partners through site visits, training, and performance meetings. You will support approximately 25-35 franchise partners and play a key role in driving consistent execution of AMADA's 3 Pillars of Success: Caregiving, Sales, and Operations. Franchise Partner Coaching & Support Conduct bi-weekly performance meetings with assigned franchise partners Train and reinforce best practices aligned with AMADA's 3 Pillars of Success Analyze KPIs and financial reports to identify performance gaps Conduct bi-annual Profit & Loss (P&L) reviews Recommend strategic improvements to increase revenue and operational efficiency Ensure compliance with Franchise Agreements and brand standards Performance & Analytics Track and report required KPIs during weekly Training & Support meetings Compare actual performance to projections and benchmarks Develop actionable improvement plans Training & Engagement Participate in and facilitate AMADA U trainings Lead Peer Performance Groups as assigned Support planning and execution of the Annual Franchise Conference Conduct site visits as directed Required Qualifications Bachelor's degree OR 5+ years of experience in sales and operations training Experience in senior healthcare or private duty home care (strongly preferred) Franchise experience (preferred) Ability to analyze financial statements and operational metrics Strong coaching and interpersonal communication skills Excellent organizational and time management skills Willingness to travel approximately 25% Core Competencies for Success Job Knowledge - Deep understanding of senior care operations and business performance Analytical Skills - Ability to evaluate data, identify trends, and recommend strategic solutions Organizational & Schedule Management - Effectively manage multiple franchise relationships and deadlines Follow-Through - High level of accountability and ownership Teamwork - Collaborative and solutions-oriented Communication - Clear, concise, professional verbal and written communication Comprehensive Benefits Package Includes: 100% Employer-Paid Medical, Dental & Vision Coverage (Employee Only) Competitive bonus opportunity Paid time off EAP Why Join AMADA? This is more than a consulting role. It is an opportunity to: Influence and grow a national senior care brand Coach business owners to achieve meaningful results Make a direct impact on caregivers, seniors, and families Work within a mission-driven, values-based organization If you are a strategic thinker, a strong coach, and passionate about senior care excellence, we invite you to apply. Compensation details: 0 Yearly Salary PI70db00ecae3d-3223
The Opportunity The Risk Management Consultant is responsible for performing delegated trade review and surveillance to support field management to mitigate and identify potential risks and/or noncompliance issues with MML Investors Services LLC ("MMLIS") policies or laws and regulations as required by FINRA, the SEC and state insurance and securities divisions. The Team The MML Investor Services, LLC Supervisory Controls Group (SCG) is a well-established team of experienced Principals working together to provide solutions for our Field representatives and management. Team members show high levels of business acumen in the areas of communications, accountability, and relationship management. With the experience and inquisitive nature or the group, stretch goals and other business challenges are assigned for individual growth/development adding additional value. The team shares an ability to be agile with process utilizing their expertise and self-development capability to improve efficiency and focus on ensuring that the operations are completed timely and with quality. The SCG seeks to provide the best-in-class partnership with team members, internal partners, and field associates. The Impact As a Risk Management Consultant your responsibilities will include, but not be limited to the following: Perform trade surveillance and monitoring activities while appropriately documenting and proactively identifying potential risks and/or violations of policies or regulations specifically within the firm's trade review systems. Collaborate with trending department, field management, and business partners as needed to assist with development of corrective action plans designed to eliminate or reduce potential risks. Regularly monitor and communicate surveillance or sales practice trends to relevant business partners and senior management. Work efficiently and effectively to 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. Upon request from management, perform ad hoc projects, reviews or other duties as required or assigned. Focus on the customer, act with integrity, value people, work collaboratively and achieve results. The Minimum Qualifications 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 Candidates residing within 50 miles of the MassMutual Springfield, MA office will be required to work a hybrid schedule of 3 days a week. The Ideal Qualifications 5+ years of broker dealer or compliance experience Series 53 & 4 System knowledge: Envestnet/MAS, BPM, Wealthscape, and/ or FBSI Works 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 Excellent interpersonal skills; team player, self-motivated; patient demeanor; approachable style Change agent experience with a constant focus on continuous improvement Inclusive approach to working with the team and the ability to "listen to understand" High aptitude for effective problem resolution What to Expect as Part of MassMutual and the Team Regular meetings with the Supervisory Controls Group Maintain and improve relationships with all business partners 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 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. California residents: For detailed information about your rights under the California Consumer Privacy Act (CCPA), please visit our California Consumer Privacy Act Disclosures page.
03/03/2026
Full time
The Opportunity The Risk Management Consultant is responsible for performing delegated trade review and surveillance to support field management to mitigate and identify potential risks and/or noncompliance issues with MML Investors Services LLC ("MMLIS") policies or laws and regulations as required by FINRA, the SEC and state insurance and securities divisions. The Team The MML Investor Services, LLC Supervisory Controls Group (SCG) is a well-established team of experienced Principals working together to provide solutions for our Field representatives and management. Team members show high levels of business acumen in the areas of communications, accountability, and relationship management. With the experience and inquisitive nature or the group, stretch goals and other business challenges are assigned for individual growth/development adding additional value. The team shares an ability to be agile with process utilizing their expertise and self-development capability to improve efficiency and focus on ensuring that the operations are completed timely and with quality. The SCG seeks to provide the best-in-class partnership with team members, internal partners, and field associates. The Impact As a Risk Management Consultant your responsibilities will include, but not be limited to the following: Perform trade surveillance and monitoring activities while appropriately documenting and proactively identifying potential risks and/or violations of policies or regulations specifically within the firm's trade review systems. Collaborate with trending department, field management, and business partners as needed to assist with development of corrective action plans designed to eliminate or reduce potential risks. Regularly monitor and communicate surveillance or sales practice trends to relevant business partners and senior management. Work efficiently and effectively to 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. Upon request from management, perform ad hoc projects, reviews or other duties as required or assigned. Focus on the customer, act with integrity, value people, work collaboratively and achieve results. The Minimum Qualifications 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 Candidates residing within 50 miles of the MassMutual Springfield, MA office will be required to work a hybrid schedule of 3 days a week. The Ideal Qualifications 5+ years of broker dealer or compliance experience Series 53 & 4 System knowledge: Envestnet/MAS, BPM, Wealthscape, and/ or FBSI Works 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 Excellent interpersonal skills; team player, self-motivated; patient demeanor; approachable style Change agent experience with a constant focus on continuous improvement Inclusive approach to working with the team and the ability to "listen to understand" High aptitude for effective problem resolution What to Expect as Part of MassMutual and the Team Regular meetings with the Supervisory Controls Group Maintain and improve relationships with all business partners 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 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. California residents: For detailed information about your rights under the California Consumer Privacy Act (CCPA), please visit our California Consumer Privacy Act Disclosures page.
