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 our team as a compliance professional and play a vital role in supporting MassMutual Funds—a diverse mutual fund complex with over 50 open-end funds distributed through various channels, including insurance products and retirement plans. In this dynamic position, you’ll leverage 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 MassMutual 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 MassMutual Funds and MML Investment Advisers. Compliance empowers people to do the right thing by fostering a culture of ethics and integrity 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 thrive 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 framework by evaluating policies and procedures, assessing risks for new products and operations, and providing expert guidance on complex regulations. You’ll administer the Code of Ethics, stay ahead of regulatory developments, and help resolve conflicts of interest. Your work will support critical business initiatives, involve due diligence on service providers, and include oversight of MassMutual’s filings with both domestic and international securities regulators—all 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 (FIS 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 oversight of system vendor, including implementation of upgrades to FIS ECM system
• Leading continuous 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 MassMutual
• Engagement with and oversight 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 MassMutual periodic filings with the Securities and Exchange Commission, including Forms 13F, 13H, and N-PX.
• Manage or oversee various other reporting activity, such as around political contributions.
• Remain current 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, develop, 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 ideas 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 better 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 forward and deliver on commitments
• Focuses o

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