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As a Regulatory Operations Consultant , you’ll evaluate exception reporting, ensure compliance with supervisory controls, and help uphold state, FINRA, and SEC standards. You’ll document your findings, partner across multiple business areas, and build relationships with field leaders who rely on your expertise. This is a high‑impact role where your curiosity, judgment, and analytical skills will directly influence the firm’s risk posture. You’ll join a team that actively invests in your growth, supports your ambitions, and wants to see you reach your career goals.
If you’re energized by solving complex problems, digging into details, and playing a direct role in protecting a firm from financial and regulatory risk, this is the role for you!
You’ll join the Supervisory Control Procedures Team —a collaborative, multi‑tiered group dedicated to protecting the firm and its partners. The team is known for:
Strong accountability and attention to detail
Agility in navigating evolving regulatory demands
Inclusive teamwork and open communication
Courage to ask tough questions and take on difficult issues
Continuous learning and strong business acumen
In this role, you’ll be a key player in ensuring the firm remains compliant, efficient, and well‑protected from regulatory risk. You’ll use your judgment, research skills, and problem‑solving mindset to:
Review trade activity, money movement, and documentation across brokerage and RIA platforms
Ensure all activity aligns with firm policies, supervisory controls, and industry regulations
Strengthen internal controls and help prevent violations before they occur
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New York City, USA
Boston, USA
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Springfield, USA
Springfield, USA
Boston, USA
Springfield, USA
Identify process improvements and enhance back‑office procedures
Provide clear, confident guidance to internal and external partners
Deliver training as needed and serve as a resource across the business
Navigate difficult issues professionally and proactively
Balance attention to detail with an understanding of the broader regulatory landscape
You’ll have the opportunity to make meaningful improvements, recommend operational efficiencies, and contribute to a culture of compliance, integrity, and continuous improvement.
MassMutual offers the opportunity to do meaningful work within a purpose-driven organization that values long-term impact over short-term outcomes. In this role, you can expect:
Clear areas of ownership and accountability, with work that connects directly to company and customer outcomes
A collaborative environment where perspectives are welcomed
Access to learning, development, and internal networks that support continuous growth and skill-building over time
Employee-led communities and forums that foster connection, learning, and inclusion across the organization
A culture grounded in integrity, responsibility, and stewardship—supported by a company with a strong legacy and a future-focused mindset
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Salary Range:
At MassMutual, we focus on ensuring fair equitable pay, by providing competitive salaries, along with incentive and bonus opportunities for all employees. Your total compensation package includes either a bonus target or in a sales-focused role a Variable Incentive Compensation component.
We’ve been around since 1851. During our history, we’ve 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.
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. It’s more than our company structure – it’s 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. We welcome all persons to apply.
If you need an accommodation to complete the application process, please contact us and share the specifics of the assistance you need.
At MassMutual, we focus on ensuring fair, equitable pay by providing competitive salaries, along with incentive and bonus opportunities for all employees. Your total compensation package includes either a bonus target or in a sales-focused role a Variable Incentive Compensation component. For more information about our extensive benefits offerings please check out our Total Rewards at a Glance.
Mutual U.S. life insurer providing life insurance, protection, retirement, and investment services to individuals, families, and businesses.
Visit company websiteUSD 64100-84100 yearly / year
Full-time
Entry · 2+ years experience
Hybrid
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