Location: Horsham,PA, USA
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 process 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.
Assign, track, and follow up on required training courses to agents, registered representatives, and associated persons.
Review, process, approve and log incoming checks and securities.
Coordinate and disseminate communications to agents, registered representatives, and associated persons.
Coordinate training events for the supervisory team.
Ideal Candidate Attributes:
A credible and respected guide to our advisors, with excellent coaching skills.
A process-oriented mindset, curious and interested in staying attune 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.
Excellent written communications skills
Ability to work under pressure while maintaining a positive attitude in stressful situations.
Someone that is resourceful, takes satisfaction in problem solving and is highly analytical with a strong attention to detail.
Experience Required:
3 to 5 years in the securities industry, with at least 1 year in a supervisory role.
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 use to extend our mission.