MassMutual Regional Supervisory Director - REMOTE MA, CT, NY, NJ, PA, RI, VT, NH, ME in Boston, Massachusetts
The Regional Supervisory Director (RSD) is the Regional Vice-President’s delegated supervisor responsible for overseeing 10+ General Agencies. In this role, the RSD is responsible for managing and mitigating sales practices and regulatory risk and guides General Agents (GAs) and their Agency Supervisory Offices (ASOs) through a defined system of supervisory controls. The RSD is responsible for communicating expectations, providing advice and guidance, as well as coaching and consultation on a wide range of firm level and producer topics. The RSD is expected to put the Company’s interests first but must be collaborative, responsive and find appropriate solutions to complex issues. The RSD reports directly to the Head of Field Risk Management but is expected to navigate a matrixed environment with various partners in the broker-dealer, compliance, legal and audit among others.
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.
Monitor, consult and guide GAs and ASOs on regulatory and supervisory requirements
Conduct two oversight visits per year per agency based on risk, agency circumstances and supervisory procedures
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 and Private Securities Transactions where appropriate
Interview and influence the selection of Agency Supervisory Officers
The Minimum Qualifications
7+ years of professional experience
3+ years of field-facing experience working with sales office management or advisors
FINRA Series 7 and 24
High school diploma or GED
The Ideal Qualifications
Strong understanding of broker-dealer, investment advisory and insurance regulatory requirements and has supported or worked directly within an agency system
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
Access to mentorship/reverse 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
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 (email@example.com) 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. (http://www.massmutual.com/global/media/shared/doc/employee_benefits.pdf)
- MassMutual Jobs