Investment Operations Director - Inforce Advisory Operations



Springfield, MA, USA
Posted on Saturday, August 26, 2023

Investment Operations Director - Inforce Advisory Operations

Springfield, Massachusetts Investment Management Job ID R14209

Investment Operations Director-Inforce Advisory Operations

Fulltime Springfield, MA

The Opportunity

We are growing, and our clients deserve the best. As an Investment Operations Director you will oversee a team of Investment Specialists, Consultants, Principals and be part of a highly structured, fast paced team-oriented environment focused on providing quality service and maintaining compliance standards. In this role, as well as all roles within MassMutual, you will demonstrate accountability, agility, a dedication to be inclusive, a strong business acumen, and will show courage, even in the most difficult situations. We also highly value strong communication skills, a passion for learning, leadership traits, resilience, and self-awareness.

The Team

The team is comprised of 25 team members with a background in Wealth Management. Their roles vary from consultant(s) who support the director in driving the team, principal roles which are licensed individuals responsible for more complex functions and analysts (“processors)” who support the processing of daily end client transactions and interaction with our external vendors such as Envestnet. The team has direct interaction with our advisors and their support staff. They are high functioning, collaborative and are motivated to do what is best and right for the firm, our advisors, their clients as well as for each other. The team dynamic is unique in that we have members who have grown in role as the broker dealer has grown as well as members who bring an outside perspective.

The Impact

The Advisory Ops Director is expected to have a strong business acumen in the wealth management space to ensure the team is prepared and educated to support strategic initiatives such as the rollout of new product offerings.

The Director and by extension the team is accountable for ensuring processing service levels are consistently maintained.

The ideal candidate for this role must demonstrate daily agility and ability to learn, adapt, implement continuous improvement in support of changing regulatory and competitive landscapes.

Communication and leading others are key in this role. Collaborating with the team to communicate and establish clear goals, provide feedback, developmental opportunities and do so in a manner that is inclusive.

Support strategic vision and growth trajectory of the broker dealer by providing transparent communication, working with the team to ensure readiness, identifying opportunities to improve ease of doing business.

Key Responsibilities Include:

  • Ensure compliance with all applicable regulations, internal supervisory controls and Corporate RIA program procedures.

  • Provide support, coaching, with training and development of associates on team

  • Review requests for exceptions to policies and procedures and decides appropriate action.

  • Address and resolve escalated issues as they arise.

  • Appropriately allocate resources in order to achieve desired results

  • Serve as a Subject Matter Expert in Corporate RIA Product Development meetings and strategic projects

  • Maintain and improve relationships with CRIA business partners

  • Maintain/Develop/Update policies and procedures

  • Deliver the highest level of service to our field force, internal and external partners

  • Review reports that measure staff productivity and department efficiency

The Minimum Qualifications

  • Bachelor’s degree

  • Series 7 and Series 24 required at time of application

  • 5+ years’ experience in the broker/dealer and RIA industry

  • 2+ years’ experience providing customer service in the financial services field

  • 2+ years’ experience in a people leader role or team lead function

The Ideal Qualifications

  • 7+ years’ experience providing customer service in the financial services industry

  • 7+ years’ experience in the broker/dealer and RIA industry

  • Proven experience driving continuous process improvements and increasing operational efficiencies

  • Strong analytical/problem solving skill solving

  • Strong written, verbal, and interpersonal communication skills

  • Organization navigation skills

  • Continuous improvement mindset

What to Expect as Part of MassMutual and the Team

  • Regular meetings with the MMLIS In-Force Operations 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 business with industry leading pay and benefits


Salary Range: $84,100.00-$110,300.00 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.