What are the responsibilities and job description for the Application Monitoring Operations Consultant position at MassMutual?
The Opportunity The Trading Operations Consultant (Principal) will administer the reporting requirements, both regulatory and supervisory controls, of the Trade Desk. The ideal candidate will have a strong background fixed income and equity trade reporting (TRACE, RTRS, CAT, TRF), excellent technical skills, and a proven history of supporting trading operations. The Trading Operations Consultant will maintain and develop regulatory reporting solutions / controls to meet the firms regulatory reporting and Reg T requirements. Additionally, the Trading Operations Consultant will perform and develop controls to ensure all operations comply with applicable regulatory requirements, industry best practices, and internal policies.
The MMLIS Trading team is collaborative, well-synched and communicates closely to support each other. Following internal procedures, perform and / or review daily and monthly control reports to ensure compliance with trading internal controls
Daily monitoring and problem resolution associated to FINRA CAT, TRF / ORF, FINRA TRACE, & MSRB RTRS. Maintain and develop regulatory reporting solutions / controls to meet the firms’ reporting requirements.
Collaborate with traders, and back-office teams to resolve trade-related issues and discrepancies.
Conduct regular reviews of trading operations processes and workflows, identifying areas for improvement and implementing best practices.
Ensure compliance with all relevant regulations and internal policies, maintaining a high standard of operational risk management. Identifying and mitigating operational risks.
Support regular compliance testing and monitoring of trading policies and procedures
Draft, review, and revise manuals, policies, written supervisory procedures, and other documents.
In addition to daily support, the candidate will work on enhancing processes or implementing new ones to streamline workflows for the trading desk.
7 years’ experience in middle office, regulatory reporting, or compliance role within a broker / dealer
Willingness to pursue FINRA Series 99 registration.
Bachelor’s degree in finance, Economics or Related Field
Experience with custodial platforms and trading platforms. Proficiency in EXCEL.
Regular meetings with the MMLIS Trading Team
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
MassMutual is an Equal Employment Opportunity employer Minority / Female / Sexual Orientation / Gender Identity / Individual with Disability / Protected Veteran. 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.
