Job Description

Do you want to be part of a team that encourages your growth, supports your ambitions and makes it a priority for you to reach your goals? Is helping people part of who you are? At MassMutual, we help millions of people find financial freedom, offer financial protection and plan for the future. We do this by building trust with our customers by being knowledgeable problem solvers and prioritize their needs above all else. We Live Mutual.

Description



The Opportunity

As a Business Acceptance Specialist you will be responsible for mitigating risk for the firm by evaluating exception reporting to ensure adherence to the firms supervisory controls as well as state, FINRA, and SEC rules and regulations. Once review is complete, ensure evaluation is reflected in comprehensive documentation for each case.

The Team

The Supervisory Control Procedures Team is a multi-tiered business unit that assists the Broker-Dealer and Investment Advisor in mitigating risk for the Firm and its business partners. This is accomplished by accurate, timely review and completion of the majority of the firms Supervisory Control Procedures.

The Impact:

We are looking for an individual who is self-motivated and has personal accountability to achieve career development by leveraging resources available, has the ability to identify opportunities for operational efficiency and productivity improvements to mitigate financial, reputational, and regulatory risk and to update processes with management approval and also has the flexibility to work both independently and collaboratively within a diverse team environment.

Key Responsibilities Include:

* Adhere to control systems to prevent or resolve violations of industry guidelines and internal policies
* Enhance back office processes, risk mitigation through research, and implementation/management of operational and supervisory procedures
* Communicate effectively, both orally and in writing, with internal and external customers
* Discuss concerns or potential violations with representatives and provide guidance on relevant firm and regulatory policies
* Confront conflict and escalated cases in a professional, assertive, and proactive manner
* Maintain a big picture perspective while ensuring details are included in analysis
* Other duties as assigned, including other supervisory and/or operations functions

The Minimum Qualifications

* Must obtain the FINRA Series 7 & 24 within 12 months of hire.
* Must be able to pass a non-registered fingerprint background check to qualify as a fingerprinted person under FINRA due to the nature of this position (if not already licensed).
* Basic proficiency with Microsoft Office (Excel, Word, PowerPoint)
* 1 year of relevant experience
* Demonstration of management courage; able to take a position and influence management
* Critical Thinking: thoughtful process of analyzing data and problem-solving data to reach a well-reasoned solution
* Ability to partner effectively to drive our culture and execute on our common goals
* Appreciation and understanding of the financial services industry in order to make sound business decisions
* Open to new ways of thinking and acquiring new skills to retain a competitive advantage
* ***Opportunity to work 100% remotely

The Ideal Qualifications

* College degree preferred
* 2+ years financial services industry experience
* Knowledge and understanding of FINRA/SEC rules and regulations preferred

Opportunities

* Ability to obtain licenses: FINRA Series 4, 52, and Series 53
* Exposure to multiple business areas within MMLIS and MassMutual
* Potential to work on special projects or ad-hoc assignments both within the team and partnered with various business units
* Individual dedicated time with team manager on a monthly basis; quarterly skip-level with Head of SCG and SCP
* Additional training as appropriate to career development and exploration

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Why Join Us.

Weve been around since 1851. During our history, weve learned a few things about making sure our customers are our top priority. In order to meet and exceed their expectations, we must have the best people providing the best thinking, products and services. To accomplish this, we celebrate an inclusive, vibrant and diverse culture that encourages growth, openness and opportunities for everyone. A career with MassMutual means you will be part of a strong, stable and ethical business with industry leading pay and benefits. And your voice will always be heard.

Recognized as a 2019 Worlds Most Ethical Company by Ethisphere, MassMutual is guided by a single purpose: We help people secure their future and protect the ones they love. As a company owned by our policyowners, we are defined by mutuality and our vision to put customers first. Its more than our company structure its our way of life. We are a company of people protecting people. Our company exists because people are willing to share risk and resources, and rely on each other when it counts. At MassMutual, we Live Mutual.

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.