Senior Compliance Analyst
Zelis
Regulatory Operations Consultant
MassMutual
full-time
Posted on:
Location Type: Hybrid
Location: Springfield • Massachusetts • 🇺🇸 United States
Visit company websiteSalary
💰 $64,100 - $84,100 per year
Job Level
Mid-LevelSenior
About the role
- Review trade activity, money movement, and supporting documentation for standard brokerage and RIA platforms to ensure compliance with policies, procedures, and regulatory requirements in relation to Supervisory Controls
- Adhere to control systems to prevent or deal with violations of legal guidelines and internal policies
- Enhancement of back-office processes, risk mitigation through research, and implementation/management of operational and supervisory procedures
- Responds to complex questions from internal and external customers regarding program guidelines and administrative procedures
- Coordinates and delivers training as needed
- Confront difficult issues and conflict in a professional, assertive, and proactive manner
- Attend to detail while maintaining a big picture perspective
- Other duties as assigned, including other supervisory and/or operations functions
Requirements
- High School Diploma or GED
- Series 7 at time of application or must obtain within 6 months
- Series 24 at time of application or must obtain within 6 months
- 3+ years experience in the financial services industry
- 1+ year of experience with brokerage products, program policies and provisions, and state and federal law
- 1+ year of experience with Microsoft Office (Excel, Word, PowerPoint)
- If candidate does not currently hold FINRA Licenses at time of application, then due to the nature of this position, candidates must be able to pass a non-registered fingerprint background check to qualify as a fingerprinted person under FINRA
Benefits
- Access to learning content on Degreed and other informational platforms
- Regular meetings with the Supervisory Control Procedures Team
- 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
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard skills
brokerage productsprogram policiesstate lawfederal lawrisk mitigationoperational proceduressupervisory procedurescompliancemoney movementtrade activity
Soft skills
attention to detailconflict resolutionprofessionalismassertivenessproactivitycustomer servicetraining deliveryproblem-solvingcommunicationorganizational skills
Certifications
High School DiplomaGEDSeries 7Series 24
