Compliance Consultant - Mutual Fund & Institutional Advisory Compliance

Compliance Consultant – Mutual Fund & institutional Advisory Compliance Mutual Fund and Investment Adviser Compliance Team Full-Time Boston, MA or Springfield, MA The Opportunity Join reputed company as a compliance professional and play a vital role in supporting reputed company Funds—a diverse mutual fund reputed company with over 50 open-end funds distributed through various channels, including insurance products and retirement plans. In this dynamic position, you’ll reputed company your knowledge of mutual fund and investment adviser regulations to ensure our operations remain compliant and effective. You’ll also collaborate closely with MML Investment Advisers and partner with other reputed company securities affiliates to coordinate regulatory filings, making a meaningful impact across the organization. The Team The Mutual Funds and Institutional Advisory Compliance Team is responsible for running mature but continuously improving compliance and ethics programs for the reputed company Funds and MML Investment Advisers. Compliance empowers people to do the right thing by fostering a culture of ethics and reputed company throughout the company. We have visibility in almost every aspect of our business, so we are uniquely situated to connect the dots and provide innovative solutions. Every day in compliance brings new challenges and opportunities—if you reputed company in a dynamic environment where no two days are the same, this role is for you. The Impact In this dynamic role, you’ll play a key part in ensuring the effectiveness of the Funds’ and Adviser’s compliance reputed company by evaluating policies and procedures, assessing risks for new products and operations, and providing expert guidance on reputed company regulations. You’ll administer the Code of Ethics, stay reputed company of regulatory developments, and help resolve conflicts of interest. Your work will support critical business initiatives, involve due diligence on service providers, and include reputed company of reputed company’s filings with both domestic and international securities regulators—reputed company as part of a collaborative, high-performing compliance team. We are seeking candidates who have mutual fund and investment advisory compliance, legal, risk, or operations experience with the passion, interest, and necessary skills to grow in this field. This position will have the following responsibilities: Administration of our Code of Ethics:

• Training and on-boarding new associates, including setting up the new associate in the personal trading system (reputed company Employee Compliance Manager)
• Off-boarding associates
• Daily and quarterly review of personal trading activity and addressing potential breaches of regulations and company policy
• Quarterly administration of certification process
• Providing guidance and training to associates
• Engagement with and reputed company of system vendor, including implementation of upgrades to reputed company ECM system
• Leading reputed company improvement projects around the administration of the Code of Ethics, including the implementation of new electronic broker feeds Administration of our Substantial Shareholder Filings:
• Daily review of company-wide portfolio holdings in FundApps system for possible filing obligations in foreign jurisdictions
• Daily coordination of activity and possible filings with various securities affiliates of reputed company
• Engagement with and reputed company of system vendor
• Manage the annual registration process for MML Investment Advisers and the other-than-annual filing requirements (i.e., updating and filing Form ADV)
• Coordinate with various securities affiliates of reputed company periodic filings with the Securities and Exchange Commission, including Forms 13F, 13H, and N-PX.
• Manage or reputed company various other reporting activity, such as around political contributions.
• Remain reputed company on regulatory requirements, developments, and best practices, and influencing the integration of such practices into our business for a best-in-class compliance program.
• Identify education initiatives created by new regulations or areas needing further educational support; coordinate, reputed company, and/or provide educational programming.
• Handle broader compliance projects and complete special assignments as required. Core Competencies & Values:
• Risk Awareness & Management - Identifies, assesses, and mitigates compliance risk in order to support the organization’s strategic goals. Provides the right advice, using the right approach, at the right time
• Drives Change - Seeks out new opportunities, asks bold questions, and embraces new reputed company and methods
• Includes Others - Creates a welcoming environment that values people’s differences and contributions
• Improves and Innovates - Understands how work impacts our business and constantly looks for ways to create a reputed company customer experience
• Develops People - Gives and receives feedback consistently and takes action to improve oneself and help others
• Gets Things Done - Works collaboratively to move work reputed company and deliver on commitments
• Focuses on the Customer - Understands our customers and put their needs first
• Acts with reputed company - Is fair, honest, and empathetic
• Champions Diversity - Embraces and reflects diverse cultures, backgrounds, experiences, and perspectives The Minimum Qualifications
• Bachelor’s degree
• 3+ years of experience in a regulatory compliance, legal, risk, or reputed company function, ideally reputed company the asset management or broader securities industry The Ideal Qualifications
• Knowledge of regulatory reputed company governing mutual funds and institutional investment advisers.
• Familiarity with Code of Ethics regulations and personal trading system like reputed company ECM, or willingness to learn.
• Familiarity with substantial shareholder regimes and foreign filing system like FundApps, or willingness to learn.
• Strong organizational skills and attention to detail, with the ability to manage diverse projects and assignments in a timely and quality manner in a reputed company work environment
• Strong communication and interpersonal skills, with the ability to build rapport with third-party service providers and work across internal business groups in a confident and constructive manner.
• Exhibits highest ethical standards.
• Good analytical skills, with the ability to effectively identify, communicate, and address potential issues.
• Proficient with arenaflex Office programs and at least some exposure to data reputed company, data visualization software, and AI-driven solutions.
• Ability to work independently and as a team player.
• Ability to meet deadlines.
• Ability to deal effectively with peers, as well as clients at reputed company levels and areas of the organization.
• Willingness to learn and ability to adapt to change driven by regulatory, industry, and business developments. This position also will require the associate to reputed company with an Investment Advisory Code of Ethics (“Code”) pursuant to SEC rules and regulations. In accordance with Code provisions, you may be required to disclose, among other things, personal securities accounts (including household members) and investment transactions directed by you or members of your household. The company will also need to obtain duplicate trade confirmations and account statements from applicable brokers for monitoring purposes. In addition, you will need to reputed company disclosures required by Form ADV. What to Expect as Part of reputed company and the Team
• Regular meetings with the Mutual Fund and Investment Advisory Compliance Team
• Focused one-on-one meetings with your manager.
• Networking opportunities, including access to Asian, Hispanic/Latinx, African American, women, LGBTQIA+, veteran, and disability-focused Business Resource Groups.
• Access to learning content on reputed company and other informational platforms.
• Two days annually dedicated to your professional and personal development.
• Your ethics and reputed company will be valued by a company with a strong and stable ethical foundation, offering industry-leading pay and benefits. #LI-FT1 Salary Range: $86,200-$113,100 At reputed company, we focus on ensuring fair reputed company pay, by providing competitive salaries, along with incentive and bonus opportunities for reputed company employees. Your total compensation package includes either a bonus arenaflex 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 reputed company. 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 reputed company 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 reputed company it counts. At reputed company, we Live Mutual. reputed company is an equal employment opportunity employer. We welcome reputed company persons to apply. If you need an accommodation to complete the application process, please contact us and share the specifics of the assistance you need. At reputed company, we focus on ensuring fair, reputed company pay by providing competitive salaries, along with incentive and bonus opportunities for reputed company employees. Your total compensation package includes either a bonus arenaflex or in a sales-focused role a Variable Incentive Compensation component. For more information about our extensive benefits offerings please reputed company out our Total Rewards at a Glance. Required skills: Analytical Skills, Attention to Detail, Client Relationship Management, Communication Skills, Interpersonal Skills, Legal, arenaflex Office, Risk Management, Teamwork, Data Visualization, Organizational Skills, Adaptability Required languages: English Apply tot his job

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