Advisory Oversight Consultant



Springfield, MA, USA
Posted on Wednesday, August 23, 2023

Advisory Oversight Consultant

Springfield, Massachusetts Investment Management Job ID R13652

The Opportunity

Are you a person who can use relevant data to make sound decisions? Can you choose the appropriate message and medium for the situation and audience? Do you address emerging problems with focus and urgency? If so, keep reading!

As an Advisory Oversight Consultant you will join a team that is focused on identifying and resolving investment policy issues and providing the field with consultative operational support for wealth management programs including problem resolution and coordination with other internal resources. The Advisory Oversight Consultant is also involved in the review of performance measurement and account data to provide support for best practices A successful team member quickly develops into the subject matter expert of our platforms and systems as it relates to supported programs.

The Team

The team has varied backgrounds and experience in the industry but share a developed business acumen, an agility to switch between support and analytical work as well as a really good communication skillset both internally and externally. The role of this team is a careful balance between a core support role of the advisors’ practices and participation in on-going internal oversight initiatives.

The Impact

The Advisory & Risk Oversight Team is a multi-tiered business unit that assists the Broker-Dealer in mitigating risk for the firm and its partners. This is accomplished by accurate, timely completion of the majority of the firm’s Supervisory Control Procedures.

Key Responsibilities Include:

  • Supporting the implementation and management of operational and supervisory procedures for the firm

  • Demonstrating the ability to effectively communicate with registered representatives such as; agency personnel, and internal business partners such as Compliance, Field Inspection, and Regional Supervisory Directors

  • Determining root cause of issues, provide solutions, and work independently to resolve matters

  • Reporting on the status of advisor as portfolio manager in supported programs through analysis including, but not limited to performance

The Minimum Qualifications

  • Bachelor’s degree in Business Administration, Finance or a related field

  • At least 3+ years of financial services, banking, insurance or regulatory experience

  • FINRA Series 7 & 24 at time of application or must obtain within 180 days

  • Proficient Microsoft Office skills

The Ideal Qualifications

  • FINRA Series 7 & 24 at time of application

  • Structured curiosity, specifically related to investment portfolio management

  • Knowledge of suitability , regbi, and fiduciary responsibilities as it relates to  RIAs

  • High level critical thinking with a problem resolution mindset

  • Comfortable knowledge about security types and how they work

  • High level critical thinking with a problem resolution mindset

  • Exposure to and knowledge about investment process and performance measurement

  • Experience working with Investment Systems with a knack for picking up on system challenges quickly

What to Expect as Part of MassMutual and the Team

  • Regular meetings with the Investment Policy Support team

  • Focused one-on-one meetings with your manager

  • Access to mentorship opportunities

  • Networking opportunities including access to Asian, Hispanic/Latinx, African American, women, LGBTQ, veteran and disability-focused Business Resource Groups

  • Access to learning content on Degreed and other informational platforms

  • Your ethics and integrity will be valued by a company with a strong and stable ethical nosiness with industry leading pay and benefits


Salary Range: $67,400.00-$88,400.00 Apply

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.

If you need an accommodation to complete the application process, please contact us and share the specifics of the assistance you need.