Regional Supervisory Director

Join to apply for the Regional Supervisory Director role at MassMutual Continue with Google Continue with Google 2 days ago Be among the first 25 applicants Join to apply for the Regional Supervisory Director role at MassMutual Direct message the job poster from MassMutual Talent Acquisition Consultant at MassMutual 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 ( 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 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. Seniority level Seniority level Director Employment type Employment type Full-time Job function Job function Business Development and Sales Referrals increase your chances of interviewing at MassMutual by 2x Get notified about new Regional Director jobs in Austin, TX . 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