MassMutual
Investment Compliance Consultant
MassMutual, Boston, Massachusetts, us, 02298
Compliance Analyst, Investment Compliance
Investment Management
Full-Time
Boston, MA or Springfield, MA
The OpportunityAs a Compliance Analyst, you will be responsible for monitoring compliance with various regulations, guidelines, and policies for the Company’s General Investment Account. Additionally, you will assess compliance with state regulatory investment limits, monitor compliance with investment guidelines for discretionary accounts managed by third parties, and oversee pre and post trade compliance matters using the Company’s order management systems for derivatives in a timely manner. You will also support certain reporting requirements related to the Company’s governance and compliance framework to senior management.The TeamThe Investment Compliance Team partners with various stakeholders across MassMutual to assess and monitor compliance with various investment regulations, guidelines, and policies for the Company’s General Investment Account. The team works collaboratively with portfolio management, investment operations, and various risk management teams across the Company to evaluate a broad range of compliance and risk-related matters. The team is also focused on adding value via process improvement, automation, and enhanced reporting to support the Company’s investment strategies and objectives.The ImpactAs a crucial team member, you will provide valuable insight and perspective to management on a broad range of investment-related regulatory, governance, and risk matters. Candidates should have investment knowledge, strong analytical skills, and the ability to collaborate effectively with a wide range of internal and external stakeholders. Successful candidates will be able to work independently as well as contribute to projects. Individuals must be comfortable with learning new processes and systems and be able to prioritize work among incoming requests from various sources.Responsibilities Include:Monitoring ongoing compliance with state regulatory and internal investment limitsAnalyzing ongoing compliance with investment guidelines for discretionary accountsMonitoring pre and post trade compliance rules using the Company’s systemsCollaborating with stakeholders to ensure appropriate resolution of compliance mattersSupporting reporting of compliance items to multiple constituenciesThe Minimum QualificationsBachelor’s Degree5+ years of work experience in financial servicesThe Ideal QualificationsBachelor’s Degree in Finance, Accounting or Legal Studies, preferred5+ years of work experience in financial services, preferably in a compliance roleKnowledge of investments, including derivatives, preferredStrong analytical, problem-solving and issue resolution skillsExcellent verbal and written communication skillsStrong organizational and time management skillsAbility to work independently, prioritize work, and meet deadlinesProficient with Microsoft Office tools (Outlook, Excel, Word, etc.)What to Expect as Part of MassMutual and the TeamRegular meetings with the Investment Compliance TeamFocused one-on-one meetings with your managerAccess to mentorship opportunitiesNetworking opportunities including access to Asian, Hispanic/Latinx, African American, women, LGBTQ, veteran and disability-focused Business Resource GroupsAccess to learning content on Degreed and other informational platformsYour 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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Investment Management
Full-Time
Boston, MA or Springfield, MA
The OpportunityAs a Compliance Analyst, you will be responsible for monitoring compliance with various regulations, guidelines, and policies for the Company’s General Investment Account. Additionally, you will assess compliance with state regulatory investment limits, monitor compliance with investment guidelines for discretionary accounts managed by third parties, and oversee pre and post trade compliance matters using the Company’s order management systems for derivatives in a timely manner. You will also support certain reporting requirements related to the Company’s governance and compliance framework to senior management.The TeamThe Investment Compliance Team partners with various stakeholders across MassMutual to assess and monitor compliance with various investment regulations, guidelines, and policies for the Company’s General Investment Account. The team works collaboratively with portfolio management, investment operations, and various risk management teams across the Company to evaluate a broad range of compliance and risk-related matters. The team is also focused on adding value via process improvement, automation, and enhanced reporting to support the Company’s investment strategies and objectives.The ImpactAs a crucial team member, you will provide valuable insight and perspective to management on a broad range of investment-related regulatory, governance, and risk matters. Candidates should have investment knowledge, strong analytical skills, and the ability to collaborate effectively with a wide range of internal and external stakeholders. Successful candidates will be able to work independently as well as contribute to projects. Individuals must be comfortable with learning new processes and systems and be able to prioritize work among incoming requests from various sources.Responsibilities Include:Monitoring ongoing compliance with state regulatory and internal investment limitsAnalyzing ongoing compliance with investment guidelines for discretionary accountsMonitoring pre and post trade compliance rules using the Company’s systemsCollaborating with stakeholders to ensure appropriate resolution of compliance mattersSupporting reporting of compliance items to multiple constituenciesThe Minimum QualificationsBachelor’s Degree5+ years of work experience in financial servicesThe Ideal QualificationsBachelor’s Degree in Finance, Accounting or Legal Studies, preferred5+ years of work experience in financial services, preferably in a compliance roleKnowledge of investments, including derivatives, preferredStrong analytical, problem-solving and issue resolution skillsExcellent verbal and written communication skillsStrong organizational and time management skillsAbility to work independently, prioritize work, and meet deadlinesProficient with Microsoft Office tools (Outlook, Excel, Word, etc.)What to Expect as Part of MassMutual and the TeamRegular meetings with the Investment Compliance TeamFocused one-on-one meetings with your managerAccess to mentorship opportunitiesNetworking opportunities including access to Asian, Hispanic/Latinx, African American, women, LGBTQ, veteran and disability-focused Business Resource GroupsAccess to learning content on Degreed and other informational platformsYour 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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