Join our Team at MassMutual Eastern PA- Investment Operations and Supervisory Support Specialist in Horsham, PA
At MassMutual Eastern PA, we believe our success is rooted in the development of ethical and committed support staff. Our Horsham, PA location is seeking an experienced professional in Broker-Dealer and RIA operations to join our dynamic team. The position is multi-faceted including the daily supervision and operational support of delegated persons defined as Producers (registered and non-registered) and extends to non-registered associated persons ("NRF")/Access Persons.
In the role of Investment Operations and Supervisory Support, you will support OSJ Supervisors to help ensure our financial professionals’ business is conducted correctly and in compliance with the regulations that apply to our business.
Key Responsibilities:
* Assist producers and/or assistants in determining appropriate paperwork and processes for new and subsequent business as well as servicing requests.
* Assist producers and/or assistants in promptly resolving “Not in Good Order” submissions.
* Becoming a subject matter expert in investment business processing.
* Review, process, approve, and log incoming checks and securities.
* Coordinate and disseminate communications to agents, registered representatives, and associated persons.
Ideal Candidate Attributes:
* A credible and respected guide to our advisors, with excellent coaching skills.
* A process-oriented mindset, and curious and interested in staying attuned to updates and changes locally and in our highly regulated industry.
* An open and honest communicator, able to convey critical information in a constructive way.
* Someone who is resourceful, takes satisfaction in problem-solving, and is highly analytical with strong attention to detail.
Experience Required:
* BA or BS degree or equivalent experience.
* FINRA Series 7 and 24 licenses. Will consider candidates with securities industry experience; however, licenses must be attained within 3 to 6 months of employment.
* Industry operational and regulatory knowledge regarding general securities, mutual funds, variable and fixed annuities. Working in a field office along with the understanding of a clearing firm relationship is a plus.
We need someone like you to help grow our firm.
Ready to Make an Impact? Contact us today to discuss how you can leverage your experience to extend our mission.
Compensation: $70,000 - $95,000 yearly
About MassMutual Eastern PA:
At MassMutual of Eastern PA, our primary objective is to help people take hold of their finances. By designing strategies that fit their personal needs and style, we can help them attain their financial goals. As a full-service financial firm, we offer insurance and investment products and services for individuals and their families, busy executives, and professionals.
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