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Regional Supervisory Director
MassMutual
People & HR, Operations
Austin, TX, USA · Jackson, MS, USA · Indianapolis, IN, USA · Springfield, IL, USA · Tennessee, USA · Topeka, KS, USA
USD 124,800-163,800 / year
Posted on Jun 27, 2025
The Opportunity
The Regional Supervisory Director (RSD) is primary supervisor for a region of general agencies affiliated with MassMutual Financial Advisors. In this role, the RSD guides local supervisors through a defined system of supervisory controls by communicating expectations, coaching and consulting on producer and firm-level topics, and ensuring that sales and service risks are mitigated. The ideal candidate is collaborative-minded and a self-starter with a thorough understanding of broker/dealer, investment advisory, and life insurance regulations with extra consideration given to those with career agency distribution experience. The RSD will report to the Head of Field Risk Management and will operate in a matrixed environment where they support the Regional Vice President as the delegated supervisor for 10+ General Agencies and interact with corporate business partners from compliance, legal, and broker/dealer.
The Team
The Field Risk Management team is comprised of five Regional Supervisory Directors, Head of Sales Risk Strategy, the Head of the Supervisory Controls Group and the Head of Strategic Regulatory Initiatives. The team is experienced, collaborative, is constantly learning and works individually and together to further the team’s objectives.
The Impact:
The ideal candidate has a strong understanding of broker-dealer, investment advisory and insurance regulatory requirements and has supported or worked directly within an agency system. Key responsibilities include, but are not limited to:
Monitor, consult and guide GAs and ASOs on regulatory and supervisory requirements in accordance with the Field Compliance Manual
Conduct appropriate number of oversight visits - based on risk, agency circumstances and supervisory procedures
Assist agency to develop a consistent supervisory structure through risk-based strategic planning
Consult on sales practices and supervisory issues as needed to ensure adherence to company guidelines and industry standards of conduct
Conduct reviews of email surveillance
Participate in review and approval of submitted Outside Business Activities
Interview and influence the selection of Agency Supervisory Officers
Coach supervisors on regulatory requirements including Regulation Best Interest, IA Marketing Rule, Investment Advisor Annual Client Contact
Support and champion strategic initiatives
Familiarity with supervisory and business processing tools such as Proofpoint, A360, Supervisory Central, Wealthscape, and Envestnet
Collaborate with Field Risk Officer, Regional VP, Compliance, Corporate Audit, Legal, Investigations, and broker dealer
Travel to agencies and conferences as needed (<25%)
The Minimum Qualifications
7+ years' experience working in a career agency or in a role that directly supports an agency system
FINRA Series 7 & 24 at time of application
FINRA Series 53 and 65/66 at time of application or must be obtained within one year of hire
Must currently reside in one of the following states: TX, IN, KS, MS, TN, IL
The Ideal Qualifications
Experience in internal controls, compliance, or risk management
Strong understanding of broker-dealer, investment advisory and insurance regulatory requirements
Advanced designations such as CLU, ChFC, CFP, CFA
FINRA series 4 and 63
What to Expect as Part of MassMutual and the Team
Regular meetings with the Field Risk Management Team Focused one-on-one meetings with your manager
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
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Salary Range:
$124,800.00-$163,800.00At 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.
Why Join Us.
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 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.
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.