Overview

A career with us means you’ll work alongside exceptional people and be empowered to reach your professional and personal goals. Our employees are at the foundation of what enables MassMutual to deliver on our purpose to help people secure their futures and protect the ones they love.

We embrace the idea that we all are stronger and better through our support for one another. We strive to create a culture where employees feel valued and are celebrated for who they are.

Job Description

Sales Practice Risk Consultant

Supervisory Control Group

Full-Time / Remote - US

The Opportunity

As a Sales Practice Risk Consultant, you will help identify emerging sales practice risks, uncover meaningful trends through data analysis, and influence risk mitigation strategies across MassMutual's advisory and securities business. Partnering with Compliance, Legal, Supervision, and Field leaders, you'll provide actionable insights that strengthen supervisory practices, support regulatory compliance, and help protect both advisors and clients.

The Team

The MassMutual Financial Advisors Supervisory Controls Group (SCG) is an established team of experienced Principals who collaborate to deliver practical solutions for advisors and management. Team members demonstrate strong business acumen, clear communication, accountability, and relationship-management skills.

Within SCG, the In-Depth Risk Analysis team generally conducts targeted reviews of advisor activity to identify patterns, trends, and potential areas of elevated sales practice risk across brokerage, advisory, annuity, and securities-related insurance business. The team translates complex data into actionable observations, documents areas of concern, and identifies where additional review, advisor education, file testing, or follow-up may be appropriate.

By documenting risk themes and helping determine whether additional monitoring is warranted, the team promotes consistent supervision, stronger documentation practices, and alignment with applicable Firm policies and regulatory expectations.

The Impact

As a Sales Practice Risk Consultant your responsibilities will include, but not be limited to the following:

• Evaluate FINRA and SEC annual guidance and disciplinary actions, information from internal business partners, and direct observations to proactively identify potential sales practice risks, particularly those involving Regulation Best Interest (Reg BI).
• Gather and analyze company-level data to establish metrics for Key Risk Indicators (KRIs).
• Conduct in-depth reviews of advisors who meet or exceed established KRI thresholds.
• Prepare clear, professional reports that communicate the risks reviewed and any resulting Items of Note for each advisor.
• Meet with Regional Supervisory Directors (RSDs) and Agency Supervision staff to discuss written reports, observations, and consult on appropriate follow-up.
• Track documentation of agency supervisory activity and notify RSDs when documentation is not received or does not sufficiently address identified risk areas.
• Partner with Compliance, the Field, MMLIS, Legal and other Home Office business partners on regulatory matters and surveillance escalations.
• Stay apprised of current knowledge of Firm policies and the evolving regulatory environment.
• Complete ad hoc projects, reviews, and other duties as requested.

The Minimum Qualifications

• Candidates residing within 50 miles of the MassMutual Springfield office will be expected to work a Hybrid schedule of 3 days a week in the office
• FINRA Series 7 and 24 required at time of application
• 4+ years in Compliance/supervisory roles supporting a broker dealer/investment advisor including brokerage products, program policies and provisions, FINRA rules and guidance, and state and federal securities law
• 3+ years of experience with Microsoft Excel
• Associates Degree

The Ideal Qualifications

• Demonstrated ability to identify patterns, trends, and sales practice risks.
• Experience reconciling, processing, and analyzing data across multiple products and business lines.
• Proven written communication and presentation skills, with the ability to convey complex information clearly and concisely.
• Ability to contribute effectively within a cross-functional team.
• Ability to work independently while collaborating with management, Risk organization team members, business partners, and Field Supervision partners.
• Knowledge of trade review systems, strong computer and analytical skills, and sound judgment and decision-making capabilities.
• Excellent project management and problem-solving skills, including the ability to identify process efficiencies and improvement opportunities.
• Demonstrate a customer-focused mindset, act with integrity, value people, collaborate effectively, and deliver results.
• Strong Microsoft Office skills, including Outlook, PowerPoint, and Word.
• Excellent interpersonal skills; a collaborative, self-motivated approach; patience; and an approachable style.
• FINRA Series 53 and Series 4 registrations.
• Knowledge of Advisor360 Suite, including the Document Retention Tool, Wealthscape, Envestnet, and/or FBSI.

What You Can Expect at MassMutual

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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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.

California residents: For detailed information about your rights under the California Consumer Privacy Act (CCPA), please visit our California Consumer Privacy Act Disclosures page. MassMutual will accept applications on an ongoing basis until such time as a candidate has been offered employment. The job description includes the main duties of this position, which may evolve over time. You may be required to perform other duties not listed.

It is unlawful in Massachusetts to require or administer a lie detector test as a condition of employment or continued employment.

Salary Range: $76,200-$100,000

Award-Winning Culture

MassMutual is guided by a single purpose: We help people secure their future and protect the ones they love. As a company operated for the benefit of our members and participating policyowners, we are defined by mutuality and our vision to provide financial well-being for all Americans. 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.

We strive to build a thriving community where everyone is valued, included, and feels that they belong.

At MassMutual, we Live Mutual.

How We Work

MassMutual’s flexible workplace approach combines the importance of connecting in person and the flexibility of working remotely. Our hybrid model puts collaboration first with employees coming in at least three days per week to our spectacular campus settings and also enjoying the flexibility of remote Fridays, company-wide remote weeks, and a bank of flexible remote weeks to use throughout the year.

Benefits for the whole you (and your loved ones)

There’s more to your life than your job and there’s more to your aspirations than a paycheck. We take a holistic view of compensation and benefits that provides the flexibility to create a healthy balance in your life for work, family, and community. We offer the benefits you’d expect, like medical, dental, 401(k), and generous vacation time, but we also offer ones you might not expect, like three paid days for volunteering, a $1,250 annual Well-Being Wallet, and up to 320 hours of caregiver leave.

Explore some of our offerings below.

Paid Time Off

In addition to generous vacation time, paid holidays, and flexible holidays, MassMutual offers 'take care' time to care for yourself or someone you love—whether for physical illness or mental health.

Health & Well-Being

In addition to top-line medical and dental coverage, personalized mental health solutions, on-site and virtual health coaching, and much more, MassMutual reimburses employees up to $1,250 per year for eligible expenses supporting mental, physical, and financial well-being.

Financial Well-Being

In addition to competitive salaries and bonuses, educational assistance programs, and much more, MassMutual offers up to a 10% total 401(k) benefit, consisting of a 5% company match and a 5% annual contribution.

Taking Care

MassMutual offers generous maternity and parental leaves, as well as bereavement leave to mourn the loss of a loved one (and the employee defines 'loved one'). In addition, we offer up to 320 hours of caregiver leave to help employees support loved ones in times of need.

Giving Back

MassMutual offers three paid days for employees to volunteer with eligible nonprofits of their choice, and the MassMutual Foundation matches employee donation dollars to eligible nonprofit organizations up to $5,000 annually.

Commuter Benefits

MassMutual offers a Qualified Commuter Program through which eligible employees can pay qualified workplace commuting expenses with before-tax dollars, as well as a commuter wallet option for employees based at Boston and NYC campuses.