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Compliance Consultant (Hybrid)

Company: MassMutual
Location: Springfield
Posted on: September 24, 2022

Job Description:

**Compliance Consultant, Mutual Funds and Investment Advisory****Compliance & Ethics Department****Full-Time, Springfield or Boston, MA (Hybrid)****The Opportunity**In this role, you will work to support the MassMutual Funds, a mutual fund complex made up of over 100 open-end funds offered through variable insurance products, retirement plans, and other distribution channels, as well as the Funds' registered investment adviser, MML Investment Advisers. You also will regularly engage with other securities industry affiliates of MassMutual to coordinate regulatory filings.**The Team**The Mutual Funds and Investment Adviser Compliance Team is responsible for running a mature but continuously improving compliance and ethics programs for the MassMutual Funds and MML Investment Advisers. The team is comprised of a collegial and supportive group of experienced compliance professionals with a range of specialties, competencies, and skills.**The Impact**Compliance empowers people to do the right thing by fostering a culture of ethics and integrity throughout the company. We have visibility into almost every aspect of our business so we are uniquely situated to connect the dots and provide innovative solutions. There is no "typical day" in compliance - If you're looking for a challenging opportunity to work on a dynamic, highly collaborative team with a noble purpose, you'll love compliance.Responsibilities:We are seeking candidates who have mutual fund and investment advisory compliance, legal, risk, or operations experience with the passion, interest, and necessary skills to grow in this field. This position will involve regular contact with personnel in mutual fund operations, investment management, fund accounting, legal, and some of the Funds' service providers.This position will have the following responsibilities:+ Administration of our Code of Ethics:+ Training and on-boarding new associates, including setting up the new associate in the personal trading system (PTA)+ Off-boarding associates+ Daily and quarterly review of personal trading activity and addressing potential breaches of regulations and company policy+ Quarterly administration of certification process+ Providing guidance and training to associates+ Engagement with and oversight of system vendor, including Implementation of upgrades to PTA system+ Leading continuous improvement projects around the administration of the Code+ Administration of our Substantial Shareholder Filings:+ Daily review of company-wide portfolio holdings in FundApps system for possible filing obligations in foreign jurisdictions+ Daily coordinate of activity and possible filings with various securities affiliates of MassMutual+ Engagement with and oversight of system vendor+ Manage the annual registration process for MML Investment Advisers and the other-than-annual filing requirements (i.e., updating and filing Form ADV)+ Coordinate with various securities affiliates of MassMutual periodic filings with the Securities and Exchange Commission, including Schedules 13D, F, G and Section 16.+ Manage or oversee various other reporting activity, such as around political contributions.+ Remain current on regulatory requirements, developments, and best practices, and influencing the integration of such practices into our business for a best-in-class compliance program.+ Identify education initiatives created by new regulations or areas needing further educational support; coordinate, develop, and/or provide educational programming.+ Handle broader compliance projects and complete special assignments as required.**The Minimum Qualifications**+ Experience (at least 3 years) in a regulatory compliance, legal, risk, or related function, ideally within the asset management or broader securities industry+ Strong organizational skills and attention to detail, with the ability to manage diverse projects and assignments in a timely and quality manner in a complex work environment+ Strong communication and interpersonal skills, with the ability to build rapport with third-party service providers and work across internal business groups in a confident and constructive manner+ Willingness for some travel to office and possibly vendor sites+ Exhibits highest ethical standards**The Ideal Qualifications**+ Knowledge of regulatory framework governing mutual funds and institutional investment advisers+ Familiarity with Code of Ethics regulations and personal trading system like PTA, or willingness to learn+ Familiarity with substantial shareholder regimes and foreign filing system like FundApps, or willingness to learn+ Good analytical skills, with the ability to effectively identify, communicate, and address potential issues+ Proficient with Microsoft Office programs and at least some exposure to data base and data visualization software+ Ability to deal effectively with peers, as well as clients at all levels and areas of the organization+ Willingness to learn and ability to adapt to change driven by regulatory, industry, and business developmentsThis position also will require the associate to comply with an Investment Advisory Code of Ethics ("Code") pursuant to SEC rules and regulations. In accordance with Code provisions, you may be required to disclose, among other things, personal securities accounts (including household members) and investment transactions directed by you or members of your household. The company will also need to obtain duplicate trade confirmations and account statements from applicable brokers for monitoring purposes. In addition, you will need to make disclosures required by Form ADV.**What to Expect as Part of MassMutual and the Team**+ Regular meetings with the Mutual Funds and Investment Adviser Compliance Team+ Focused one-on-one meetings with your manager+ Access to mentorship opportunities+ 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 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 (talentacquisition@massmutual.com) and share the specifics of the assistance you need._

Keywords: MassMutual, Springfield , Compliance Consultant (Hybrid), Professions , Springfield, Massachusetts

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