The Minimum Qualifications High School Diploma Series 7 & 24 at time of application or must obtain within 6 months of hire date 3+ years experience in the financial services industry If candidate does not currently hold FINRA Licenses at time of application, then due to the nature of this position, as a part of our background check process, candidates must be able to pass a non-registered fingerprint background check to qualify as a fingerprinted person under FINRA The Ideal Qualifications Bachelor''s Degree Series 7 and 24 at time of application Compliance or supervision experience with a FINRA registered Broker-Dealer and/or SEC Registered Investment Advisor 1+ year of experience with policies and provisions as it relates to brokerage products, state and federal law Critical Thinking: thoughtful process of analyzing data and problem-solving data to reach a well-reasoned solution Ability to partner effectively to drive our culture and execute on our common goals Appreciation and understanding of the financial services industry in order to make sound business decisions Able to use knowledge and skills to monitor advisory and brokerage assets, complete regulatory reporting and assist the firm in maintaining proper compliance with company policy, FINRA, SEC, and state regulatory rules with limited supervision Ability to identify opportunities for operational efficiency and productivity improvements to mitigate financial, reputational and regulatory risk and to update processes with management approval Self-motivated and has personal accountability to achieve career development by leveraging resources available What You Can Expect at MassMutual MassMutual offers the opportunity to do meaningful work within a purpose-driven organization that values long-term impact over short-term outcomes. You'll use your judgment, research skills, and problem‑solving mindset to: Review trade activity, money movement, and documentation across brokerage and RIA platforms Ensure all activity aligns with firm policies, supervisory controls, and industry regulations Strengthen internal controls and help prevent violations before they occur Identify process improvements and enhance back‑office procedures Provide clear, confident guidance to internal and external partners Deliver training as needed and serve as a resource across the business Navigate difficult issues professionally and proactively Balance attention to detail with an understanding of the broader regulatory landscape You'll have the opportunity to make meaningful improvements, recommend operational efficiencies, and contribute to a culture of compliance, integrity, and continuous improvement.