MassMutual

Compliance Consultant – Mutual Fund, Investment Advisory Compliance

MassMutual

full-time

Posted on:

Location Type: Hybrid

Location: Springfield • Massachusetts • United States

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Salary

💰 $86,200 - $113,100 per year

About the role

  • Administration and oversight of policies and procedures governing the operations of the MassMutual Access Funds, including around valuation procedures and the tender offer process
  • Provide compliance and regulatory advice and guidance to the Head of Investment Management Alternatives Product, Business Operations Manager, and others supporting the MassMutual Access Funds
  • Management of the Access Funds’ sub-adviser compliance oversight program: Develop thorough knowledge of the compliance framework and practices for overseeing the Funds’ sub-adviser, including compliance with affiliated transaction exemptive orders under Section 17(d)
  • Review, assess, and monitor changes to the sub-adviser’s policies and procedures
  • Report on the sub-adviser’s compliance with applicable policies and procedures pertaining to management of the MassMutual Access Funds
  • Provide compliance oversight with respect to certain third-party service providers, including the Access Funds’ custodian
  • Assist in the preparation of Rule 38a-1 annual reports
  • Assist in the preparation of quarterly compliance reports for the MassMutual Access Funds Board of Trustees
  • Oversee the monitoring of portfolio compliance for the MassMutual Access Funds
  • Provide information and responses in connection with the annual advisory contract 15(c) renewal process
  • Perform testing and compliance oversight to ensure compliance with exemptive orders and other regulatory requirements

Requirements

  • Bachelor’s degree
  • 3+ years of experience in a regulatory compliance, legal, risk, or related function, ideally within the asset management or broader securities industry
  • Knowledge of closed-end fund and private equity investment structures
  • Strong 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
  • Robust 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, as well as the ability to draft well-written due diligence reports
Benefits
  • Health insurance
  • 401(k) matching
  • Flexible work hours
  • Paid time off
  • Professional development opportunities

Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard skills
regulatory compliancerisk managementcompliance oversightdata analysisportfolio compliancedue diligence reportingclosed-end fund structuresprivate equity investment structuresexemptive orders compliancepolicy assessment
Soft skills
analytical skillsorganizational skillsattention to detailcommunication skillsinterpersonal skillsproject managementproblem-solvingreport writingrelationship buildingtimeliness
Certifications
Bachelor's degree